Location: Memphis,TN, USA
**Description**
**_This position will follow our hybrid work model; we expect the selected candidate to work 3-days a week at one of our corporate home offices, which are located in St. Petersburg, FL, Memphis, TN and Southfield, MI._**
**Job Summary:**
Under administrative direction, uses extensive knowledge and skills obtained through education and experience to oversee one or more sub-departments within Operations. Leads large projects, programs or processes with significant business impact involving cross-functional teams. Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Extensive contact with Senior Management is required, to provide comprehensive solutions to complex problems or needs.
**Essential Duties and Responsibilities:**
+ Plans, assigns, monitors, reviews, evaluates and leads the work of subordinate managers and supervisors.
+ Performs human resource management activities, including coaching and mentoring subordinates within a performance management culture.
+ Coaches and mentors subordinates, identifies training needs, and creates development plans.
+ Interprets, applies and recommends changes to organizational policies and procedures.
+ Collaborates with private client group management to identify and implement solutions.
+ Monitors regulatory compliance with internal and external groups including auditors, FINRA, IRS, SEC and others.
+ Establishes objectives with a sense of urgency and develops processes and procedures to ensure efficient and timely work flow.
+ Works with product managers and information technology groups to create system requirements that will facilitate processes; moves projects through to implementation.
+ Performs periodic reporting on work progress, project completions and additional ad-hoc reporting as required.
+ Maintains regular contact with senior manager and other internal customers to identify, research, and resolve issues.
+ Ensures effective coordination occurs between assigned functional area(s) and other areas.
+ Identifies trends and implements corrective action as necessary.
+ Uses financial data and performance indicators to establish control mechanisms and other improvement initiatives.
+ Develop and administer policies, procedures, and budget for the department. Ensure policies and procedures are interpreted and carried out properly.
+ May manage multiple departmental budgets.
+ Performs other duties and responsibilities as assigned.
**Qualifications**
**Knowledge, Skills, and Abilities:**
**Knowledge of:**
+ Company's working structure, policies, mission, and strategies.
+ Project management methodology sufficient to act in a sponsorship role.
+ Principles of finance and securities industry operations.
+ Financial markets and products.
+ Performance management.
**Skill in:**
+ Preparing operational budgets.
+ Interpreting and applying policies and procedures.
+ Establishing operational objectives.
+ Implementing processes and procedures for efficient and timely work flow.
+ Preparing management reports.
+ Promoting effective coordination between work groups.
**Ability to:**
+ Plan, assign, monitor, review, evaluate and supervise the work of others.
+ Coach and mentor others.
+ Identify training needs and develop subordinates.
+ Balance conflicting resource and priority demands.
+ Maintain currency in assigned area of responsibility.
+ Partner with other functional areas to accomplish objectives.
+ Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
+ Incorporate needs, wants and goals from different business unit perspectives into operational processes.
+ Read, interpret, analyze and apply information from job-related publications.
+ Incite enthusiasm and influence, motivate and persuade others to achieve desired outcomes.
+ Interpret and apply policies.
+ Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.
+ Communicate effectively, both orally and in writing.
+ Work independently as well as collaboratively within a team environment.
+ Lead others in providing a high level of customer service
+ Establish and maintain effective working relationships at all levels of the organization.
**Educational/Previous Experience Requirements:**
+ Bachelor's Degree (B.A.) in finance, business administration or related field and eight (8) years experience in financial services, including five (5) years in a management position.
OR ~
+ Any equivalent combination of experience, education, and/or training approved by Human Resources.
**Licenses/Certifications:**
+ **SIE required** _provided that an exemption or grandfathering cannot be applied._
+ **Series 99** , _or ability to obtain within 120 days (as required by FINRA),_ **required**
+ _(Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination.)_
**Job:** Operations
**Primary Location:** US-FL-St. Petersburg-Saint Petersburg
**Other Locations:** US-TN-Memphis-Memphis, US-MI-Southfield-Southfield
**Organization** Operations & Administration
**Schedule** Full-time
**Job Shift** Day Job
**Travel** Yes, 20 % of the Time
**Req ID:** 2402993