The Advisory Operations Activations Leader will be responsible for overall performance of a high risk, complex team including establishing and achieving key performance indicators, key goals and objectives, risk mitigation, and compliance with supervisory procedures and regulations.
Full management responsibility for a diverse team of as many as 15 associates.
Must have an understanding of the team's functions, processes, and/or systems supported by the team, within 6 months of hire, and be an expert within 12 months of hire.
Must be knowledgeable of and responsible for the development and performance of key systems in US. Must have knowledge of technology and tools available to identify and implement solutions and create process efficiencies for the team in a high-volume, deadline-driven environment.
Must identify, recommend and implement solutions regarding team processes, systems, regulations, resource allocation, and controls not guided by policies or procedures.
Responsible for working with other areas in the firm, vendors and auditors.
Decisions are non-routine and require the exercise of judgment that represents an assumption of business risk. When decisions have significant impact to the firm and our clients, they are subject to review by the Department Leader.
Poor decisions could result in financial, tax, legal, regulatory and client service risk.
May participate in Industry Groups.
Bachelor's degree or equivalent experience required. Concentrations in business, accounting, finance or management are preferred, but other concentrations will be considered.
Series 99 required within 90 days of start date for US leaders; Series 7 and 66 required within 12 months of start date for U.S. leaders. Outside the US, appropriate country-specific licenses required.
5 or more years financial services industry or accounting experience, with operations experience strongly preferred. 3 or more years management experience in the financial services industry, or audit experience.
Must have a basic understanding of major functions in US and/or CAN brokerage Operations, including books and records, trades, packaged products, and processing of cash, securities and accounts. Must also have in depth knowledge of one or more of the major functions.
Must have an understanding of the team and the department functions, processes, and/or systems supported by the team, within 6 months of hire, and be an expert within 12 months of hire.
Must have strong collaboration, problem solving, decision making and critical thinking skills.
Must have the ability to proactively identify risks and design and implement effective controls to mitigate risks.
Must have demonstrated ability to collaborate and influence decision making on technology initiatives and/or projects.
Must be able to effectively communicate, lead a team and manage relationships with others based in multiple locations.