Manager, Operations | Account Transfers

Responsibilities

• Oversee a defined operational area, ensuring effective service delivery and continuous improvement.

• Manage day-to-day operations, including planning, assigning, monitoring, and evaluating work across teams and subordinate leaders.

• Perform human resource management activities such as interviewing, hiring, performance management, coaching, mentoring, and development planning.

• Establish operational objectives and develop processes and procedures to ensure efficient, high-quality, and timely workflows.

• Prepare, review, and manage operational budgets; monitor financial performance and implement control mechanisms.

• Analyze performance metrics, identify trends, and implement corrective actions and process improvement initiatives.

• Prepare and present management reports, including operational updates, project progress, and ad hoc analyses.

• Interpret, apply, and recommend improvements to organizational policies and procedures.

• Communicate and execute business plans, aligning team efforts with organizational strategy, mission, and values.

• Coordinate across multiple teams and functional areas to ensure alignment and resolution of issues.

• Balance competing priorities, resources, and timelines in a fast-paced environment.

• Maintain strong relationships with leadership and internal stakeholders to support operational success.

Knowledge of:

• Investment concepts, practices and procedures used in the securities industry.

• Financial services and operations

Skills:

• Advanced ability to plan, organize, and optimize workflows to drive efficiency and effectiveness.

• Strong leadership skills with the ability to lead teams, set expectations, and hold individuals accountable.

• Expertise in coaching, mentoring, and developing talent.

• Excellent verbal and written communication skills, including facilitating meetings and influencing stakeholders.

• Ability to interpret policies, apply them effectively, and recommend improvements.

• Strong analytical skills with the ability to identify trends, evaluate data, and implement solutions.

• Proven ability to balance competing priorities and adapt to changing demands.

• Skilled in collaborating across functions and building strong working relationships at all organizational levels.

• Ability to anticipate obstacles, assess risks, and develop alternative strategies.

• Experience preparing budgets, reports, and performance metrics.

• Strong problem-solving and decision-making capabilities.

• Proficiency in standard office equipment and business software applications.

• Ability to work independently while also contributing effectively in a team environment.

• Capability to initiate and lead projects, analyze business impacts, and drive results.

• Utilize AI-driven approaches to streamline workflows and operational tasks.

• Ability to lead strategic efforts to enhance associate engagement.

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.