Job Title: Operations Escalation Supervisor – Wealth Management Compliance Sector
Compensation: Competitive salary and bonus potential.
Benefits: Enjoy a full suite of benefits including comprehensive health, vision, and dental coverage, along with a 401(k) plan, and other voluntary benefits and great PTO!
About the Role:
Are you an experienced professional passionate about advisory operations and client services in the wealth management sector? Join a dynamic and rapidly growing company that provides a leading independent advisor platform. We're looking for a Operation Escalation Supervisor who will work with team of financial advisors on escalated complaints, work with compliance team and make sure that a positive resolution is executed.
What You'll Do:
- Lead as the Go-To Expert: Be the primary authority for advisory for smooth operations from financial advisors and aligning efforts with wealth management and compliance teams.
- Operational Efficiency: Continuously review and refine processes to enhance advisor experience and regulatory compliance.
- Training Leadership: Develop and implement training programs for both new hires and existing team members to ensure consistency and quality in client services.
- Team Collaboration: Work with cross-functional teams to coordinate and roll out platform enhancements, focusing on seamless integration and user experience.
- Client-Focused Support: Oversee day-to-day operations, provide performance feedback, and monitor key service metrics to ensure the highest service standards are met.
What We're Looking For:
- A proactive, self-motivated leader with at least 3 years of experience in the financial services industry, ideally in wealth management.
- Strong communication skills, capable of building and nurturing trusting relationships with internal teams and clients.
- A deep understanding of advisory platforms, and experience working with compliance and regulatory processes.
- Series 7 and 66 licenses are required, and Series 24 is preferred or must be obtained within 180 days.
- Experience managing performance in fast-paced environments, especially within client service operations.