Description

This position will follow our hybrid work model; we expect the selected candidate to work 2-3 days a week at our St. Petersburg, FL, corporate office.

Job Summary:

Manage advisor relationships at the senior executive level while Financial Advisors are going through the transition process. There is an element of project management and the expectation to interact with senior leadership across the firm to advocate for each advisor and their unique needs. Associate must be able to foster and maintain relationships across a variety of operational and product-focused departments while the advisor is in the onboarding window. Once a direction is decided, they are responsible for guiding the implementation/solution for advisors. This will be a constantly evolving process as business needs and new initiatives warrant.

Essential Duties and Responsibilities

• Serve in the capacity of overall relationship manager for new Advisors as they are going through the onboarding process with ultimate responsibility for the success of that experience

• Serves as first point of contact between Operations and National Recruiting team

• Serve in the capacity of operational and product expert for our largest new Advisor relationships

• Prepare and deliver written and oral presentations to Firm-wide stakeholders related to projects/updates

• Serve as a liaison between Operations and other business units when solving issues

• Takes a leadership position on project teams and drives execution against project plans and goals

• Reviews regulatory rules that affect Operations and directs the creation of documents by functional area that correspond to procedures that would be impacted by the specific regulations

• Identifies trending information and reports those changes/concerns/topics related to trends to the appropriate management team(s)

• Provides appropriate executive management team(s) with written reports detailing trends as they occur

• Participates in documentation review of procedures by reviewing for gaps/risks and make recommendations to management team to ensure gaps are covered and risk minimized

• Special projects as assigned as needed

Qualifications

Knowledge, Skills and Abilities

Knowledge of:

• Functional, operational, and technical requirements of all systems used in Operations

• Principles of banking, finance, and securities industry operations

• Investment concepts, practices, and procedures used in the securities industry

Skill in:

• Attend to detail while maintaining big picture orientation

• Representing stakeholders on project teams and problem solving with large, complex cross-functional systems and processes

• Conflict resolution and negotiation ability

• Problem solving, business judgment, and organization skills

• Strong client-facing ability, along with strong presentation and written communication skills

• Translating broad concepts into specific action and related success measures

• Using required software applications

Ability to:

• Attend to detail while maintaining big-picture orientation

• Solve complex problems

• Coach and mentor others

• Balance conflicting resource and priority demands

• Partner with other functional areas to accomplish objectives

• Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed

• Incorporate needs, wants, and goals from different business unit perspectives into operational processes

• Measure, needs, wants, and goals from new Advisor perspective with company objectives to strike the appropriate balance

• Work independently as well as collaboratively within a team environment

• Establish and maintain effective working relationships at all levels of the organization

• Travel in support of new Advisor relationships

Educational/Previous Experience Requirements:

• Bachelor's degree in a related field or an equivalent combination of education and work experience.

• Master’s degree in business administration or specialization in operations management preferred.

• Will typically have a minimum of ten (10) years of relevant experience in financial services.

• Project work and business analysis/process improvement within financial services industry highly preferred.

or

• Any equivalent combination of education, experience and/or training approved by Human Resources.

• Licenses/Certifications:

• SIE required provided that an exemption or grandfathering cannot be applied.

• Series 99 or equivalent required or ability to obtain within 120 days. Other licensing as required.

Job: Operations

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Organization Operations & Administration

Schedule Full-time

Job Shift Day Job

Travel Yes, 20 % of the Time

Req ID: 2402184