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DATE ADDED: Fri 05/10/2018

Brokerage Operations Supervisor

Scottsdale, USA
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COMPANY: M.S. HOWELLS & CO.

Job Description

 

Job Description:

 

M.S. Howells & Co., a member of the FINRA and SIPC, is a brokerage firm which provides a platform for independent registered representatives and professional money managers. We have a full-time direct hire opportunity in North Scottsdale.

We are seeking a Brokerage Operations Supervisor who has expertise in all areas of Broker-Dealer and RIA back office operations in addition to being able to analyze data and recognize breaches of policies and procedures.

 

Responsibilities:

 

· Responsible for the daily oversight of team personnel, workflow, processing procedures and problem resolution

· Review and analyze productivity, service levels and processing procedures to ensure company goals, regulatory requirements and service standards are met

· Continually seek out and implement efficiencies and service/process improvements. Actively analyze problems, determine causal factors and implement corrective actions. Exercise strong problem solving and decision-making skills

· Complete daily processing of Broker Dealer and RIA business in a timely fashion

· Provide exceptional customer service and operational support to clients, field Reps and other business areas via email and telephone

· Assist with quality control checks and review procedures to ensure compliance with company policies and procedures.

 

Recommended Skills and Experience:

 

· Bachelor's Degree in a business-related field

· Series 7, 24 and 66 preferred

· At least 10 years of industry experience, inclusive of at least 2 years as a supervisor

· Knowledge of Broker-Dealer and RIA operations, including new account, transfer of accounts and cashiering functions

· Working knowledge of FINRA, SEC, IRS, MSRB and ERISA rules & regulations as they apply to both Broker Dealers and registered investment advisors

· Outstanding interpersonal skills when interacting with clients, field Reps and other stakeholders

· Knowledge of custodial platforms: Pershing - Schwab - TD Ameritrade

· Ability to work independently in a fast-paced and complex environment

· Advanced proficiency with MS Office applications (Word, Excel, PowerPoint, Access)

 

Benefits:

 

· Competitive salary

· Health/dental/vision/life insurance

· 401(k) with company match

· Paid time off

· Job Type: Full-time

Company Description
M.S. Howells & Co., a member of the FINRA and SIPC, is a brokerage firm which provides a platform for independent registered representatives and professional money managers.


Role: Brokerage Operations Supervisor
Job Type:
Location: Scottsdale,

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