Supervisor, Operations | New Accounts: Plan & Trust Team

This position follows our hybrid-friendly schedule, so you get the best of both worlds – flexibility and collaboration. In office days will be 3 per week averaging 12 days per month in one of the following locations: St. Petersburg, FL, Memphis, TN or Southfield, MI.

Leads a back-office operations team responsible for reviewing account opening documentation and supporting ongoing client account maintenance in a brokerage environment. Ensures documentation is reviewed accurately, timely, and in accordance with applicable regulatory, firm, and internal control requirements.

This role is responsible for developing a high-performing team, managing daily workflows, aligning resources to business needs, and using metrics to drive service quality and operational efficiency. The Supervisor also identifies risks, strengthens controls, and supports continuous improvement to promote scalable, well-controlled operations.

Responsibilities

• Supervise others working within established operational systems.

• Supervise a team providing administrative and service operations support and have deep expertise in the service operations provided by that team.

• Help others get the most out of internal communications systems by offering support and advice. Execute a communications plan within established internal communication systems and procedures.

• Communicate the local action plan; explain how this relates to the function's strategy and action plan and to the broader organization's mission and vision; motivate people to achieve local business goals.

• Develop and propose own performance objectives; take appropriate actions to ensure achievement of agreed objectives, using the organization's performance management systems to improve personal performance. Or manage and report on team performance; set appropriate performance objectives for direct reports or project/account team members and hold people accountable for achieving them, taking appropriate corrective action where necessary to ensure the achievement of team/personal objectives.

Skills

• Works at an advanced level to express ideas, request actions, formulate plans, & policies by means of clear and effective verbal communications. Typically works independently and provides guidance.

• Works at an advanced level to deliver required services to clients to the required standards. Typically works independently and provides guidance.

• Works with full competence to orient work in a workflow to plan, organize, and execute the steps it takes to achieve higher efficiencies. Typically works without supervision and may provide technical guidance.

• Works at an advanced level to review and evaluate recommendations and requirements and to develop appropriate plans or deliver actions required. Typically works independently and provides guidance.

Licenses/Certifications

• SIE required or ability to obtain within 120 days (as required by FINRA), provided that an exemption or grandfathering cannot be applied.

• Series 99 required, or ability to obtain within 120 days (as required by FINRA). Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination.