Summary:

The Operations Manager reports to both the 401(k) Service Advisor & the SVP, Retirement Practice Leader and provides operational management & support to the firm27s 401(k) & individual wealth management clients. This position consults directly with clients to address their financial needs & deliver customizedsolutions& support. This position requires a strong understanding of the securities industry, regulatory bodies and guidelines, meticulous attention to detail andprofessionalismand is critical to ensuring the achievement of the department27s goals.

Duties:

• schedule all client meetings with 401k & wealth management clients

• execute all wealth managementtrades, check requests, gather financial planning info & data entry

• coordinate all new accountpaperwork for 401k & wealth managementclients

• coordinate all 401k fund change paperwork and employee notices between vendors & clients

• assembling requisite paperwork, account reviews, report generation and meeting documentation

• assistwith individual employee participant proposals as needed

• coordinateemployee educationsessionswith 401k participants(either with Recordkeeper or internally presented by HUB)

• maintain all client emails & communications

• maintain all client data internally

• responsible for all client downloads for new RPW software from record-keepers monthly

• oversee new and existing 401k client transitions to new recordkeepers

• manageclientdata and plans in financial planning software,eMoney

• identifysales and asset retention opportunities; includingviablealternatives when traditional solutions may not apply

• additionalduties as may be requested

• manage all data entry into Morningstar & assist the Practice leader in assessment of prospect client27s existing portfolios

Knowledge, Skills, and/or Abilities

Strong understanding of financial services industry and diverse investment products

 Basic computer skills (Outlook, Word,Exceland Power Point) are essential

 Excellent communication skills, both verbally and in writing

Strong time management and organizational skills; able to work independently and effectively manage multiple tasks at once

 Ability to build relationships with clients and internal partners and influence others without direct control

Education and/or Experience

Bachelor27s degree in finance,accountingor related field

 The ideal candidate will have 3+ years of experience in the financial services industry allowing for a strong understanding of broker/dealer operations and financial services products, including but not limitedto:equities, bonds, options, mutual funds, annuities, insurance, and managed accounts

Previousexperience in the independent financial services culture preferred

Certificates, Licenses, Registration

 Applicable FINRA licenses preferred( Series7, 6, 65, 66 or 63)