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.
· 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)
· Competitive salary
· Health/dental/vision/life insurance
· 401(k) with company match
· Paid time off
· Job Type: Full-time
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
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