About the roleResponsible for managing the new business processes and broker dealer operations for the Investment Services Division, with direction and oversight across multiple investment products and services while maintaining overall accountability for assigned operations and coordinating related activities across areas. Manages activities and workflow related to account onboarding, administration, and identifying system issues. Consults with Compliance Managers and staff to resolve suitability and processing errors in accordance with regulatory and compliance standards while partnering with operational teams to support all new and existing business activities including new account opening, suitability, principal sign-off, and efficient processing.
How does this role make an impact?•Oversee suitability reviews and ensure compliance with all applicable laws and regulatory bodies.
•Provide leadership and mentoring to facilitate quality products and services for CTB, CCMC and CILAC while coordinating with other divisions on sales tactics, marketing resources, and communication plans.
• Analyzes and measures the effectiveness of existing business processes, developing sustainable, repeatable, and quantifiable process improvements.
•Work closely with other support units to deliver effective account onboarding and perform account procedures within guidelines.
•Provide training on technical and regulatory issues for retirement plans, tax reporting, investments, and asset allocations.
• Manages the implementation and maintenance of disaster recovery plans and activities in assigned areas. Maintains current contact information for all employees in applicable areas and communicates with non-recovery employees during a disaster.
Do you have what we're looking for? Typically requires 8+ years of relevant experience or a combination of related experience, education and training, including management experience.
FINRA registrations (SIE, Series 6, 63, 26, 51) and Life Health Insurance licensing required within 6 months of job placement
Base Pay Range:
$114,000-$156,750
The base pay range represents the typical range of potential salary offers for candidates hired. Factors used to determine your actual salary include your specific skills, qualifications and experience.
Incentive Pay:
In addition to base salary, this position is eligible for a Short-Term Incentive plan.
