Supervision Associate

Responsibilities The responsibility of the Network Office Supervision Associate is to build out and be an advocate for efficient operational processes for their office. They are responsible for partnering with the field supervisor and home office to ensure processes are in line with current regulations. They oversee the administrative functions of the investment operations by maintaining required regulatory records in accordance with securities industry rules. This position trains and oversees the operational activities of the Network office, including work performed by representatives, their staff and office related to order processing, account set up and maintenance, check deposits, funds disbursements and service requests, and OSJ regulatory filing in accordance with firm and regulatory policies and procedures, and coordinates backup support. The Supervision Associate identifies process improvements in investment operations and participates in the development of operational skills for the people working in investments. Coordinates and conducts network office regulatory communications and operations training sessions. Specific responsibilities may include but will not be limited to:

• Monitor the overall data administration, office administration and service support functions of the investment operations (account set up and maintenance, cashiering, order and check processing).
• Train and develop representatives, their teams and office staff on the operational processes related to investment operations, includes correct way to fill out forms, ensure cross training on key functions, and provide backup support as needed.
• Identifies and recommends process improvements in the investment operations and administrative functions to enhance productivity and profitability for the office.
• Primary contact for all trade correction and commission adjustment resolution inquiries. Train Registered Representatives and appropriate field staff in investment operations including but not limited to:
• New account processing
• Mutual fund basics
• Account transfer procedures
• Investment systems functionality (e.g., NetX360, Morningstar)
• Operations support within the Network Office
• Initiate ongoing communications with Network Office Supervisor and Network Office Management staff to identify potential compliance issues Qualifications It is recommended that the Network Office Investment Operations Associate has the following qualifications:
• Strong organizational and time management skills with ability to set priorities and meet deadlines
• Ability to build rapport and exercise resourcefulness and understanding
• Utilize negotiation skills, ability to adapt to changing environment, ability to lead change
• Excellent oral and written communication skills with the ability to collaborate effectively with others
• Proficient computer skills
• Excellent analytical and problem-solving skills
• Preferred candidate will have: o NY Life, Accident and Health license; FINRA Series 7, 24 or 26, and 63.

o Familiarity with operations and supervisory requirements associated with general securities preferred o Prior training and supervisory experience preferred

Pay:

$60,000.00 - $70,000.00 per year

Work Location:

In person