Manager, Operations | Account Transfers

Responsibilities Oversee a defined operational area, ensuring effective service delivery and continuous improvement. Manage day-to-day operations, including planning, assigning, monitoring, and evaluating work across teams and subordinate leaders. Perform human resource management activities such as interviewing, hiring, performance management, coaching, mentoring, and development planning. Establish operational objectives and develop processes and procedures to ensure efficient, high-quality, and timely workflows. Prepare, review, and manage operational budgets; monitor financial performance and implement control mechanisms. Analyze performance metrics, identify trends, and implement corrective actions and process improvement initiatives. Prepare and present management reports, including operational updates, project progress, and ad hoc analyses. Interpret, apply, and recommend improvements to organizational policies and procedures. Communicate and execute business plans, aligning team efforts with organizational strategy, mission, and values. Coordinate across multiple teams and functional areas to ensure alignment and resolution of issues. Balance competing priorities, resources, and timelines in a fast-paced environment. Maintain strong relationships with leadership and internal stakeholders to support operational success.

Knowledge of:

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

Skills:

Advanced ability to plan, organize, and optimize workflows to drive efficiency and effectiveness. Strong leadership skills with the ability to lead teams, set expectations, and hold individuals accountable. Expertise in coaching, mentoring, and developing talent. Excellent verbal and written communication skills, including facilitating meetings and influencing stakeholders. Ability to interpret policies, apply them effectively, and recommend improvements. Strong analytical skills with the ability to identify trends, evaluate data, and implement solutions. Proven ability to balance competing priorities and adapt to changing demands. Skilled in collaborating across functions and building strong working relationships at all organizational levels. Ability to anticipate obstacles, assess risks, and develop alternative strategies. Experience preparing budgets, reports, and performance metrics. Strong problem-solving and decision-making capabilities. Proficiency in standard office equipment and business software applications. Ability to work independently while also contributing effectively in a team environment. Capability to initiate and lead projects, analyze business impacts, and drive results. Utilize AI-driven approaches to streamline workflows and operational tasks. Ability to lead strategic efforts to enhance associate engagement. Licenses/Certifications SIE required or ability to obtain within 120 days (as required by FINRA), provided that an exemption or grandfathering cannot be applied. Series 99 required, or ability to obtain within 120 days (as required by FINRA). 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.