FINRA Registered Operations Manager

Job Overview

As a FINRA Registered Operations Manager, you’ll lead financial operations and help keep investment activity accurate, controlled, and compliant in a four person office. You’ll oversee account opening, trade settlement, cash management, regulatory reporting, and operational processes while working with clients and coworkers.

Responsibilities

• Lead daily business operations, including trade processing, new account opening, cash oversight, and financial recordkeeping.
• Monitor financial regulatory compliance, securities law requirements, banking regulatory compliance, and fraud prevention and detection controls.
• Lead required minimum distribution and beneficiary update projects annually.
• Coordinate client communication, customer service, and internal communication to resolve operational issues and support investment management activities.
• Prepare materials and statements for client meetings on a daily basis.

Skills

• Required: Active Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66(or 63 and 65 combo) registrations. Life, health or annuity licenses would be helpful.
• Required: Previous experience working for through a broker dealer(Osaic experience moves you to the top of the list) or RIA.
• Preferred: Experience with the following software would be extremely attractive - Redtail CRM and Redtail Imaging, Envestnet, Albridge, eMoney and Vanilla.
• Preferred: experience with National Financial Services (NFS) as a custodian. Particularly using Wealthscape and helping clients with Wealthscape Investor.

Pay: $72,400.00 - $80,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Flexible schedule
• Health insurance
• Paid parental leave
• Paid time off

Work Location: In person