Operations Manager - Financial

POSITION SPECIFICATION

The Human Capital Group, Inc (retained executive search firm)

www.HumanCapitalGroupInc.com



POSITION TITLE:  Financial Operations Manager

 

REPORTING TO:   Vice President Advisory Group

 

LOCATION:  Franklin, TN  37067

 

THE COMPANY: Confidential

Our client,  is a Wealth Management and Financial Services firm, headquartered in Franklin, TN, and is in search of a new Operations Manager.  They were formed in 2006 and designed specifically with the mission to help all Americans have access to “customized” best in class Financial and Investment Solutions ranging from affluent individuals to individual investors & institutional investors.

 

The Advisory Group is licensed to do business in all states.  Their plan includes driving business via their mortgage lending arm which plans market coverage of Tennessee in 2008; with a very aggressive rollout of the business model going forward “nationwide”.

 

Their Advisory Group has put together a state of the art infrastructure and created the technology in-house to bring best-in-class advisory services to all communities.  They have built a robust foundation and now anticipate rapid growth with the addition and rollout of at team of Investment Advisors who will offer their clients a full range of mortgage banking services.  They are now poised to bring unparalleled advisory services to their clients.

 

The company’s founder, developed his vision based on his personal experience of being from rural America and his experience as an options trader, investment advisor, consultant to the banking industry, and entrepreneur.  That vision is to bring best in class banking and financial services and innovative funding arrangements to families in smaller communities who aren’t normally offered such services.  The goal is to offer “Major Metropolitan” financial opportunities to every community, regardless of size and stature.

 

This position will be exposed to the following entities:

 



Registered Advisory Group

Broker Dealer

Insurance Agency

 

· Our Goal is to offer new and innovative funding arrangements & investment services to families in smaller communities.

· Competitive Strengths include our People, Integrity, Attention to detail, Passion for customer service, complete portfolio of products and services, Technology, and our Mission to serve our niche market. 

· Value Proposition offered:“a financial partner who will care for a nurture their client relationships much the same way a farmer cares for his seeding crops” John Reed

 

SCOPE AND RESPONSIBILITY:

 

The Operations Manager will be responsible for day to day management of operations & back office functions as well as compliance in support of the firm’s lines of business, investment management, financial planning, retirement planning services, insurance and risk management, & advisor support.

 

Work proactively to support the success of the management team by controlling risk, supporting a culture of quality, and facilitating team cohesiveness.

 

Monitor and manage operational costs by assisting with the development and implementation of the business plan and budget/expense control.

 

Monitor and control day to day risk by identifying & determining the resolution of operational problems and issues following the Investment Center self-audit procedures; ensuring proper registrations; and reviewing RISK report and Employee Account Violation.

 

Recruit, select, onboard and train support staff including provide performance appraisals for all investment Center personnel, but will not be responsible for the sales staff of Investment Advisors.

 Required Skills and Abilities:

· Self-starter, comfortable with fast paced environment, enjoys start-up operations, fosters teamwork, quick learner, bright, motivated, dynamic, and ability to build a team from the ground up.

· Business acumen and savvy, with interest in staying aware of industry trends and techniques.

· Act as a “client advocate” by monitoring client accounts and transactions.

· Ability to focus on client needs & seek opportunities to service clients & resolve client issues quickly.

· Implement service excellence standards, including coaching and educating operational support staff on client experience best practices & suitability.

· Commitment to Quality and thoroughness and ensure operational excellence, service consistency and solve any issue that arises.  Responsible for communication with outsource providers.

· Identifies, addresses, and resolves any project issues impacting client goals, objectives and /’or client satisfaction.

· Problem solving skills – creative, innovative and feasible.

· Microsoft Office Suite, as well as industry software knowledge such as Fidelity, Advent, etc.

· Attention to Detail and Accuracy of record keeping and documentation skills.

· Other duties as assigned.

 

 

EXPERIENCE REQUIRED:Educational Background and Experience

· 4 year Bachelors degree preferred, BS/BA degree or equivalent & comparable work related experience

· Successful & verifiable experience in Financial Services Industry with required Series 7, 66, & 24 licenses.

· Minimum of 5 years of operations experience in a financial services organization, and 5+ years of management experience.

· Significant knowledge of and successful experience using industry operations software & systems.

 

 

PERSONAL ATTRIBUTES:

 

Ø  Works well in a team environment with strong oral and written communication skills.

Ø  Results orientation and client focused.  Advisors are internal clients.

Ø  Creative, “out of the box” & quick thinker, yet has a thorough and systematic approach to operations

Ø  Strong analytical & quantitative skills; pays attention to details

Ø  Ability to quickly focus on priorities and perform root cause analysis when issues arise.

Ø   “Roll up the sleeves and get it done” mentality

Ø  The ability to maintain internal & external confidence and relationships a must

Ø  Flexible and adaptable yet focused.

Ø  Well grounded “values” based person

Ø  High integrity, trustworthiness, and person of the utmost character.

Ø  Treats all people with respect and dignity

Ø  Values diversity

Ø  An excellent communicator, both written and verbally

Ø  Strong organizational and execution skills

Ø  A “mission” & vision driven person who wants to be a part of something special.

Ø  Creative and innovative

Ø  High energy and outgoing

 

 

COMPENSATION PACKAGE:

 

$75-100K Total Targeted Compensation Package including base salary + performance based incentive package along with comprehensive benefits package.  Relocation allowance is available if required.

 

 

CONTACT INFORMATION:

 

If you are qualified and interested in being considered as a candidate for this opportunity, please submit your resume (in WORD format), along with your most recent compensation information to:

ResumesRK@HumanCapitalGroupInc.com Please put “Operations Manager” in the subject line of your email?