Regional Operations Manager - Series 9/10

We are seeking an individual with experience in management and holds an active FINRA Series 9/10. Responsibilities Oversee the administration of branch operations and provision of comprehensive administrative support. Lead the recruitment, selection, onboarding, training, and management of the Client Service Associate team to ensure optimal performance. Conduct regular performance evaluations and make key personnel decisions related to compensation, promotions, and professional development. Educate and train all branch employees on administrative policies, procedures, and compliance requirements. Address and escalate supervisory issues when necessary, and ensure local follow-up on any issues identified by the management team. Requirements 5+ years of management experience working within an established broker dealer or wealth management firm. Hold an active FINRA Series 9 and 10 License. Bachelor's degree within related field Proficiency and sound knowledge with FINRA regulations and client service policies and procedures. #J-18808-Ljbffr Ascendo Resources