The Operations Associate Director or Senior Operations Associate will work closely with the Director of Operations and will be responsible for the following outlined below:

• Assist the Director in supervising the group to ensure that all members are completing tasks and providing timely responses to all requests from the Advisors and other groups within the company.
• Completely execute the opening of new client accounts, process trades and monitor the transfer of assets.
• Proactively identify new processes and procedures that benefit the company and affiliates.
• Continually work to drive internal efficiency in the execution and confirmation of transactions.
• Ensure the Director is kept abreast of significant changes and planning requirements for all transactions and communicate changes to other groups within the Company.
• Obtain a general understanding of best practices to include comprehensive risk management procedures and a focus of process efficiency within the Operations group.
• Train, mentor, and develop interns, Operations Associates and Senior Operations Associates within the group.
• Assist in hiring new employees and implement group policies, procedures, and training that will contribute to the positive development of the group’s direction and structure.
• Work collectively with other groups within the company including advising, portfolio analysis, corporate solutions, and customized reporting to build partnerships and improve company processes and procedures.
• Lead ad hoc projects as necessary.

• BS/BA Degree Required
• 5-8 years of Financial Advisory, Brokerage, or Banking experience is required.
• Series 65 or successful completion required within 120 days of employment.
• Ability to work in a fast paced environment, assigning priorities to tasks, and handling those of the most urgency and importance, paying particular attention to detail.
• Ability to effectively work in a team environment, building a spirit of cooperation, and sharing knowledge and skills with others in the group.
• Negotiation and problem solving skills.

• Excellent communication and organizational skills.
• Proven adaptability and flexibility.

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