Operations Manager - Symonds Wealth Management

Full Job Description

Summary

The Operations Manager reports to the lead financial advisor and is critical to appropriately leveraging the advisor’s time. Strong leadership and project management skills are required for this position. In this role, you will oversee the day-to-day operations of a retail financial services practice specializing in retirement income and investment management. This position is responsible for the oversight of new business processing and provides support in escalating issues, customer service, and other key areas of the practice. Understanding the logistics of the retail financial services practice working within a broker/dealer is paramount. Practice management and previous retail advising experience are highly sought for this role.

 

Essential duties and responsibilities

Manage the day-to-day operations of a growing retail financial advisory practice which includes oversight of the opportunity pipeline/sales process and the processing of new business requirements through completion

Develop and adjust business processes to maximize business efficiency within the framework of our compliance requirements

Oversee the firm KPIs/KPMs and meet regularly with leadership with status updates

Coach and develop team members, establish clear expectations, emphasizing accountability, conduct regular performance evaluations, and provide quality and timely feedback

Provide junior advisors with sales processes and operational training and development

Manage junior advisor goals and sales pipelines

Research products, pricing, and complex issue resolution

Generate an audited report each month of new sales/deposits into accounts with confirmation that compensation has been received

Process the inbound mail each day and direct it to the correct recipient with an emphasis on making sure new checks are processed correctly

Maintain CRM database; define and ensure adherence to appropriate client service

Manage multiple and competing priorities on a daily basis in pursuit of business objectives

Build relationships with our external stakeholders and discover opportunities for our firm to enhance existing and new relationships

Serve as a backup for placing trades on client accounts and for inbound client questions that may be related to their investments or account/product features

Assist in the talent acquisition process

Other responsibilities as assigned

 

Skills & Certificates

Strong Leadership and management skills

Project management

Time management

Advanced computer skills including Office 365

Ability to build relationships with internal and external stakeholders and influence others

 

Education and Experience

Bachelor’s degree in a business-related field preferred

10+ years of retail financial services experience

5+ years of management experience

Experience with Wealthscape, Envestnet, and Redtail a plus

 

Certificates, Licenses, and Registrations

Series 7 and 65/66 preferred