Please Accept our Privacy Policy
Operations Manager
We are seeking Operations Manager oversees all B/D operational processes, including opening new accounts, account maintenance, and servicing, ensuring compliance with regulatory requirements. This role identifies financial professionals' needs to enhance operations and client experience, implements process improvements based on metrics, and sets performance goals for the team. The Operations Manager leads staff for optimal results and supports the Director of Operations with special projects.
Primary Duties:·
Responsible for day-to-day supervision of Operations Department and staff·
Provide expertise to the department on client platforms·
Process escalated client experience opportunities·
Daily sign off on banking, signature guarantee, and asset movement.
Responsible for documenting compliance tasks daily / weekly / monthly·
Responsible to daily dashboard monitoring to ensure timely approvals·
Develop client communications regarding systems, products, and issues·
Preparation (with marketing) of the RUN weekly newsletter·
Liaison with First Clearing, RBC, and SEI·
Oversee Operations policy and procedure management
o Oversight of the creation, update, and maintaining of operations resource center
o Maintain the Operations section of the Intranet.
Manage any risk associated with daily business·
Responsible for Service Associate Council and assisting with Service Associate University·
Provide a 5 Star Client Experience to our internal and external clients through our Service Standards·
Various other duties as necessary
Supervision: Direct reports
Education and Experience:
College Degree required.
5+ years of direct broker-dealer operations experience OR broader broker-dealer experience.
Knowledge/Skills/Certifications:
Project Management skills·
Ability to be strategic·
Good organizational skills and strong attention to detail·
Customer Service focused·
In-depth knowledge of financial services' state and federal regulations·
Ability to communicate both verbally and in writing in a professional and effective way·
Excellent analytical skills·
Ability to multi-task·
Ability to use Microsoft Office (Word, Excel, PowerPoint) effectively·
Salesforce experience preferred.
Licenses required:
Series 7 (or equivalent) (preferred)
Series 63/65 or 66 (preferred)
Series 24 (required)
Physical Requirements:
Ability to speak, to hear and to operate business equipment such as computers, printers, etc.
Environmental Requirements:
Professional office environment·
Must be in the Dallas corporate office.
W3Global was established in 2006 in Fremont, CA with a vision: simplify the recruiting process and develop an industry-disrupting platform to connect candidates with clients. Our cutting-edge Applicant Tracking System enables us to find the right person for the right job, creating value for job seekers and employers. While W3Global initially focused on IT staffing, we have expanded the business to serve many other industries, including accounting and finance, legal, engineering, human resources, government and more.
We’re proud of the investments we’ve made in our team, having grown from four to 1000 employees and evolving into one of the leading recruitment and staffing solution providers in the industry. Our recruiters and account managers are passionate about connecting qualified professionals with the right positions in small, medium, and large companies.
Our Services
W3Global understands the natural ups and downs of an organization’s staffing needs. We are continuously adapting to industry and economic changes to find the right candidates.
We specialize in placing permanent, direct, contract, and temporary positions for companies of any size. Our recruiting services include sourcing, recruiting, screening, interview management, salary negotiations, training, and onboarding.
We are committed to helping organizations redefine their recruitment process by delivering our SaaS-based proprietary application tracking system software.
Our Expertise
W3Global has been delivering staffing solutions for nearly two decades; we know which recruiting strategies work best. Our expert team is committed to developing a customized solution to fit your company’s unique needs.
As a W3Global client, you’ll also receive personalized assistance from a seasoned team of staffing specialists. We are committed to providing both technical support and industry expertise to simplify the hiring process. We know that your time matters. W3Global will help you streamline the hiring process, getting it done and getting it right.