Securities Operations Manager

Operations Manager

The Operations Manager reports to both the 401(k) Service Advisor & the SVP, Retirement Practice Leader and provides operational management & support to the firm's 401(k) & individual wealth management clients. This position consults directly with clients to address their financial needs & deliver customized solutions & support. This position requires a strong understanding of the securities industry, regulatory bodies and guidelines, meticulous attention to detail and professionalism and is critical to ensuring the achievement of the department's goals.

Duties:

• Schedule all client meetings with 401k & wealth management clients
• Execute all wealth management trades, check requests, gather financial planning info & data entry
• Coordinate all new account paperwork for 401k & wealth management clients
• Coordinate all 401k fund change paperwork and employee notices between vendors & clients
• Assembling requisite paperwork, account reviews, report generation and meeting documentation
• Assist with individual employee participant proposals as needed
• Coordinate employee education sessions with 401k participants (either with Recordkeeper or internally presented by HUB)
• Maintain all client emails & communications
• Maintain all client data internally
• Responsible for all client downloads for new RPW software from record-keepers monthly
• Oversee new and existing 401k client transitions to new recordkeepers
• Manage client data and plans in financial planning software, eMoney
• Identify sales and asset retention opportunities; including viable alternatives when traditional solutions may not apply
• Additional duties as may be requested
• Manage all data entry into Morningstar & assist the Practice leader in assessment of prospect client's existing portfolios

Knowledge, Skills, and/or Abilities

• Strong understanding of financial services industry and diverse investment products
• Basic computer skills (Outlook, Word, Excel and Power Point) are essential
• Excellent communication skills, both verbally and in writing
• Strong time management and organizational skills; able to work independently and effectively manage multiple tasks at once
• Ability to build relationships with clients and internal partners and influence others without direct control

Education and/or Experience

• Bachelor's degree in finance, accounting or related field
• The ideal candidate will have 3+ years of experience in the financial services industry allowing for a strong understanding of broker/dealer operations and financial services products, including but not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts
• Previous experience in the independent financial services culture preferred

Certificates, Licenses, Registration

• Applicable FINRA licenses preferred (Series 7, 6, 65, 66 or 63)

Department: Account Management & Service

Required Experience: 2-5 years of relevant experience

Required Travel: Up to 25%

Required Education: Bachelor's degree (4-year degree)

HUB International Limited is an equal opportunity employer that does not discriminate on the basis of race/ethnicity, national origin, religion, age, color, sex, sexual orientation, gender identity, disability or veteran's status, or any other characteristic protected by local, state or federal laws, rules or regulations.