Financial Services Operations Manager

Well established, growing Financial Services firm needs part-time operations manager to oversee all aspects of running the firm and co-ordinate all tasks of existing 3 EE's. Potential to be full time eventually. Ideal for take charge, experienced, caring, collaborative person. Experience in Financial Services required. Key: you run things so I can focus on clients. Goal: to treat clients better than 1st class. Hours flexible: mother's hourso.k, such as 10am to 3pm.

Detailed Requirements:



Key Results Areas
These tasks are the primary functions of the position: Serve as right hand to principal representative. Directly supervise other employees who, in turn, may have direct reports. Possess a high-level understanding of the roles and responsibilities of each position in the office. Be able to fill in if any one position or person is out. Follow up on action items from prospect and client meetings (e.g., paperwork completion for investment and insurance products).Establish and maintain solid working relationships with clients; provide ongoing support and service as appropriate. Review all commission statements to ensure accuracy. Coordinate staff meetings, take and disseminate minutes to staff meetings; monitor action items from meetings and ensure timeliness of completion. Coordinate the workflow of the principal representative to maintain overall forward direction of the firm. Participate in hiring, training, and annual performance reviews of staff. Maintain inventory of supplies and materials for office, and recommend large purchases to the principal representative. Oversee backup of computer systems on a regular basis; ensure that all off-site files/databases are updated. Oversee maintenance of client files and database records. Be proactive in keeping principal representative and all staff aware of tasks, issues, etc., that are incomplete/unresolved. Maintain relationship with all vendors.



Required Skills
The office manager must have: Excellent interpersonal skills, including: Active listening skills. Communication skills. Professional, knowledgeable demeanor. Ability to establish rapport with clients and prospectsStrong supervisory skills, including: Ability to delegate. Ability to coach staff to high levels of performance. Ability to provide positive and corrective feedback in an objective manner. Ability to build and encourage teamwork.Persistence and persuasion—set goals and work to achieve and exceed them through the combined efforts of office staff. Strong organizational skills. Ability to manage multiple projects concurrently. Analytical ability.


 

Knowledge and Experience
Based upon the Key Results Areas, these components are essential for high performance: B.A. or B.S. in a business discipline. Series 6 or 7 securities license, as well as Series 63 securities license, a plus. Three-plus years of experience in the financial advisory field; experience working with NFS processes and forms is a plus. One-plus year of HR experience or demonstrated success supervising and managing staff. Excellent knowledge of financial planning concepts and terminology. Excellent knowledge of mutual fund, stock, bond, insurance, and annuity products. First-hand knowledge of third-party asset management systems, including how they work, benefits, and drawbacks. Proficiency with computer programs, including: MS Office Suite, particularly Excel and Word Financial planning software (e.g., MoneyGuidePro) Contact management system (e.g., GoldMine) Advent ACCESS Tax Lot Accounting (through NFS) Internet resources Research packages: Morningstar Advisor Workstation Argus Value Line S&P Forefield Advisor Morningstar Principia