Regional Operations Manager (North Carolina)
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Job Location:
Asheville, NC - USA
Monthly Salary:
Not Disclosed
Posted on:
30+ days ago
Vacancies:
1 Vacancy
Job Summary
Who We Are:
Oppenheimer & Co. Inc. (Oppenheimer) is a leading middle-market investment bank and full-service broker-dealer. With roots tracing back to 1881 the Company is engaged in a broad range of activities in the financial services industry including retail securities brokerage institutional sales and trading investment banking (both corporate and public finance) equity & fixed income research market making trust services and investment advisory and asset management services.
Job Description
The firm is seeking a Registered Regional Operations Manager to join Private Client Division in our North Carolina Region. This position will report directly to the National Branch Operations Administrator with secondary reporting to the Branch Managers in their region. The candidate will be responsible for the day-to-day supervision and workflow of all operations functions which include but are not limited to the following responsibilities.
Responsibilities:
- All money movement fund disbursement and/or fund receipt activity in accordance with FINRA rules
- All order processing including cancelations corrections and other critical order-related workflow including client service inquiries and resolutions
- Account opening
- Supervisory engagement with local resources (i.e. Branch Control Officer) to fulfill supervisory requirements
- Train and lead operational support staff
- Acts as liaison between the Branch and all Firm infrastructure areas
- Support Financial Professional onboarding
- Provides any special support as requested by Branch Manager
Qualifications:
- At least 5 years of brokerage/financial services experience along with management experience
- FINRA Registrations: Series 7 63 required; in addition to 8 or 9 & 10
- Strong attention to detail and accuracy
- Ability to navigate multiple computer systems applications and utilize search tools to find information
- Excellent verbal written and interpersonal communication skills
- Effective organizational multi-tasking and prioritizing skills
- Able to work independently proactively and innovatively while exercising sound judgment
- Intelligent enthusiastic self-starter with proven ability to work closely with Financial Advisors and other team members
- High ethical standards
- Excellent time management conflict resolution skills
- Strong working knowledge of Microsoft Office Suite
Required Experience:
Manager
Key Skills
- Business Development
- Company Policies
- Customer Service
- Financial Performance
- Revenue Growth
- Oversight
- Regional Sales
- Account Management
- Project Management
- Product Line
- Ensure Compliance
- Human Resources
- Procedures
- Sales Goals
- Direct Reports
About Company
A leading global full-service brokerage and investment bank, focused on providing trusted advice and tailored, sophisticated solutions for individuals, families, corporations and institutions.
