Job Description

Job Summary:

An Account Transfers Supervisor is responsible for providing direction, leadership and support for assigned team. Seeking a strong people leader to provide coaching, motivation, development and performance management. The Supervisor will monitor quality, productivity and service levels utilizing various tools. Has the opportunity to interact with internal and external customers to identify, research, analyze and resolve issues that may be complex in nature. Individuals at this level should have a broad understanding of the different areas of Operations. Implements business plans and ensures policies and procedures are followed. May be accountable for various projects to improve efficiency and drive productivity and quality within their area.

Essential Duties and Responsibilities:

Partners with cross site peers and managers to establishes performance goals for department; collaborates with and directs associates to meet or exceed these goals.

Acts as an information source for associates and ensures training and development occurs.

Plans, assigns, monitors, reviews, evaluates and leads the work of associates.

Oversees team morale and plans for appropriate team building activities and rewards and recognition.

Handles performance management including career development and progressive discipline of direct reports.

Interviews and hires associates who possess the core competencies of the position to strengthen the department and mitigate turnover.

Works in cooperation with peers on establishing objectives and developing processes and procedures to ensure efficient and timely work flow with special regards to service delivery, compliance and risk factors for the firm.

Establishes internal or external partnership opportunities, through analysis of business needs and relationships that may enhance success.

Ensures appropriate documentation and departmental tools are created and/or maintained (job procedures, job aids, forms, training material, etc.).

Facilitates the implementation and acceptance of organizational change; addresses resistance to change and helps individuals adapt.

Takes decisive action when necessary and conveys a sense of urgency to deliver results.

Interprets and applies organizational policies and procedures.

Effectively collaborates with other supervisors in the same or different functional groups to accomplish assigned goals and process/policy changes; oftentimes this collaboration occurs across multiple sites.

Adheres to annual budgets in line with organizational goals and objectives and makes adjustments when necessary.

Effectively implements system changes, identifies and manages impacts to team and advisors.

Qualifications

Knowledge, Skills, and Abilities:

Knowledge of:

Investment concepts, practices and procedures used in the securities industry.

Financial markets and products.

Skill in:

Interpreting and applying policies and procedures.

Establishing operational objectives.

Implementing processes and procedures for efficient and timely work flow.

Promoting effective coordination between work groups.

Preparing operational budgets.

Ability to:

Learn the concepts, principles and practices of assigned functional area.

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.

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.

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 Preferred:

Bachelor%27s degree in a related field or an equivalent combination of education and work experience.

Three (3) or more years experience in financial services / operations including one (1) year as team lead or leadership experience in a financial or service organization.

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).

Licensing may be required (Series 7, 24) depending on assigned functional area.