Jobs

    Operations Supervisor - Texas, United States - Ascendo Resources

    Ascendo Resources
    Ascendo Resources Texas, United States

    3 weeks ago

    Default job background
    Description

    Seeking an Operations Supervisor for our Broker Dealer client who will be responsible for reviewing Advisory Operations functions.

    Your role:

    • Must be the subject matter expert on all operational aspects of advisory platforms,
    • Have a strong understanding of regulatory responsibilities around processing advisory business
    • Ability to review and revise procedures and processes for advisory processing, including updates to the standard operating procedures
    • Able to review and revise procedures and processes for the advisory platforms;
    • Responsible for ensuring team members are properly trained for betterment of advisor experience:
    • Evaluate and address systemic operational issues and monitor for quality assurance opportunities
    • Monitor metrics and provide feedback to the Client Service teams to ensure Service Levels are being met.
    • Be responsible for Field processing enhancement needs with the Service Team
    • Manage the advisory fee billing processes

    Qualifications

    • 3 + years relevant Financial Services industry experience preferred
    • High School Graduate required, College degree preferred
    • Series 7 License required
    • Series 66 License required (or the Series 63 and 65 licenses)
    • Series 24 Licenses preferred (or ability to obtain within 180 days of hire)
    • Experience with Salesforce is preferred as well as working knowledge of Envestnet
    • Multi-task and adjust to changing priorities in a fast-paced environment
    • Ability to build and maintain trusting relationships within the firm and with clients
    • Proficiency with Microsoft Office products including Word, Excel, Outlook, and PowerPoint
    • Understanding of the independent financial advisor industry
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