Internal ID: 1700802Job Summary:
Senior leader with extensive experience in IRA, retirement plan service operations and regulatory and compliance (FINRA/IRS). Must be able to provide direction, leadership and support to set and translate business strategy into programs and processes for the large multi-function and/or complex specialty groups in multiple locations. Leads major or multiple projects with significant scope, complexity and impact. Works independently or with subordinates on difficult assignments that are broad in nature requiring ingenuity with latitude for unreviewed actions or decisions. Individuals at this level must have a strong understanding of the firm’s different businesses and be considered a role model with strong expertise in the area they manage. Results are evaluated at agreed upon milestones for effectives in achieving specified results. Extensive contact with senior leaders across the firm including Private Client Group, Technology, Compliance and Legal is required to achieve operational goals. Essential Duties and Responsibilities:
- Sets goals for the functional area, in line with the organization’s visions and goals.
- Creates solutions for identified process improvement areas and work with the management team to implement.
- Performs periodic reporting on work progress, project completions and additional ad-hoc reporting as required.
- Maintain regular contact with senior management and other internal customers to identify research and resolve issues.
- Ensures effective coordination occurs between assigned functional area(s) and other departments.
- Identifies trends and implements corrective action as necessary.
- Uses financial data and performance indicators to establish control mechanisms and other improvement initiatives.
- Establishes internal and external partnership opportunities through analysis of key business needs and relationships that might enhance success.
- Facilitates the implementation and acceptance of organizational change; addresses resistance to change and helps team and individuals adapt.
- Takes decisive action when necessary and conveys a sense of urgency to deliver results.
- Adds values through others; motivating then to action.
- Serves as first point of contact between the firm and regulatory agencies as well as an industry expert with regards to regulations.
- Actively collaborates with various regulatory working groups (SIFMA).
- Gains a thorough understanding of new regulations and assess its impact utilizing internal and external resources as appropriate.
- Prepare and deliver written and oral presentations to Firm wide stakeholders relates to projects/updates.
- Manage vendor relationships focuses on vendor service level agreements and holding them accountable.
QualificationsKnowledge, Skills and Abilities Knowledge of:
•Functional, operational and technical requirements of all systems used in Operations. •Principles of banking, finance and securities industry operations. •Investment concepts, practices and procedures used in the securities industry.
- Financial markets and products
- Extensive IRA and Retirement Plan Services Industry experience. IRA, FINRA, and SEC experience required.
- Ensures the customer perspective is the driving force behind business decisions and activities.
- Ensuring customer solutions, practices, and procedures are carried out achieve their objectives.
- Preparing and reviewing operational budgets.
- Interpreting and applying policies, procedures, and regulations.
- Establishing operational objectives.
- Developing processes and procedures for efficient and timely work flow.
- Preparing management reports.
- Promoting effective coordination between multiple works groups and functional areas.
- Identifying trends and implementing appropriate corrective action.
- Establishing controls mechanisms.
- Implementing process improvement initiatives.
•Attend to detail while maintaining big picture orientation. •Solve complex problems. •Coach and mentor others. •Balance conflicting resource and priority demands. •Partner with other functional areas to accomplish objectives. •Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed. •Incorporate needs, wants and goals from different business unit perspectives into operational processes. •Communicate effectively, both orally and in writing. •Work independently as well as collaboratively within a team environment. •Establish and maintain effective working relationships at all levels of the organization
Educational/Previous Experience Requirements:
- Create a trusting work environment where others feel engaged
- Lead others in providing a high level of customer service
- Initiate projects, measure risks, and analyze impact on the business.
- Prioritize and manage multiple priorities in a dynamically changing environment.
- Align resources and processes to ensure strategic priorities yield measurable and sustainable results.
- Gather information, identify linkages, and trends and apply to operations.
•Bachelor’s degree in a related field or an equivalent combination of education and work experience, with specificexperience in IRA, Retirement Plan Services, Operations,and RegulatoryCompliance. •Will typically have a minimum of ten (10) years of relevant experience in financial services. •Project work and business analysis/process improvement within financial services industry highly preferred. ~or~ •Any equivalent combination of education, experience and/or training approved by Human Resources. Licenses/Certifications:
•Series 99 or equivalent required or ability to obtain within 120 days. Other licensing as required.
JobOperationsPrimary LocationUS-FL-Tampa-St. PetersburgOrganizationOperations & AdministrationScheduleFull-timeShiftDay JobTravelNo