Operations Manager - Symonds Wealth Management

Summary
The Operations Manager reports to the lead financial advisor and is critical to appropriately leveraging the advisor’s time. Strong leadership and project management skills are required for this position. In this role, you will oversee the day-to-day operations of a retail financial services practice specializing in retirement income and investment management. This position is responsible for the oversight of new business processing and provides support in escalating issues, customer service, and other key areas of the practice. Understanding the logistics of the retail financial services practice working within a broker/dealer is paramount. Practice management and previous retail advising experience are highly sought for this role.
Essential duties and responsibilities
Manage the day-to-day operations of a growing retail financial advisory practice which includes oversight of the opportunity pipeline/sales process and the processing of new business requirements through completion
Develop and adjust business processes to maximize business efficiency within the framework of our compliance requirements
Oversee the firm KPIs/KPMs and meet regularly with leadership with status updates
Coach and develop team members, establish clear expectations, emphasizing accountability, conduct regular performance evaluations, and provide quality and timely feedback
Provide junior advisors with sales processes and operational training and development
Manage junior advisor goals and sales pipelines
Research products, pricing, and complex issue resolution
Generate an audited report each month of new sales/deposits into accounts with confirmation that compensation has been received
Process the inbound mail each day and direct it to the correct recipient with an emphasis on making sure new checks are processed correctly
Maintain CRM database;
define and ensure adherence to appropriate client service
Manage multiple and competing priorities on a daily basis in pursuit of business objectives
Build relationships with our external stakeholders and discover opportunities for our firm to enhance existing and new relationships
Serve as a backup for placing trades on client accounts and for inbound client questions that may be related to their investments or account/product features
Assist in the talent acquisition process
Other responsibilities as assigned
Skills &
Certificates
Strong Leadership and management skills
Project management
Time management
Advanced computer skills including Office 365
Ability to build relationships with internal and external stakeholders and influence others
Education and Experience
Bachelor’s degree in a business-related field preferred
10+ years of retail financial services experience
5+ years of management experience
Experience with Wealthscape, Envestnet, and Redtail a plus
Certificates, Licenses, and Registrations
Series 7 and 65/66 preferred