Assistant Vice President, Operations
Date Posted [Nov-03-09] (ID: 98804)
Position: Assistant Vice President, Operations
Company: Insurance Broker
Location: California
Job ID: 17239
RESPONSIBILITIES:
- Plans, implements and manages the daily activities of the Operations team.
- Leads and manages staff and business function.
- Recommends process improvements to streamline activities and build efficiencies.
- Resolves escalated client and departmental issues.
- Directs the daily activities of the Brokerage Services, Account Maintenance, New Accounts and Trading teams.
- Monitors the performance of the Operations department ensuring quality customer service and compliance.
- Directs the implementation and management of all operational service standards, policies and procedures. Suggests improvements to management.
- Implements new software and software updates for the Operations department.
- Ensures procedures and workflow are updated and executed.
- Investigates, researches and resolves most complex or escalated customer service issues. Works with clearinghouse firm to resolve account and/or financial representative issues.
- Attends cross-functional team meetings with a view on improving operations.
- Attends Company Operations conference call and Transition conference calls.
- Attends new branch transition calls to introduce the operations department.
- Directs staff and is accountable for personnel actions including hiring, performance and salary reviews, disciplinary action and firing.
- Provides direction and guidance to associates and coordinates training, both on-the-job and formal training opportunities.
- Other duties as assigned.
QUALIFICATIONS:
- Excellent understanding of Company Operations processes and procedures.
- Excellent knowledge of trading, equity markets and regulatory requirements.
- Excellent knowledge of financial services industry.
- Ability to establish and maintain effective client relationships.
- Ability to coach and train team members.
- Ability to multi-task and prioritize to meet deadlines.
- Requires attention to detail and organization skills.
- Excellent written and verbal communication skills.
- Strong PC skills (MS Word, Excel, Outlook and other applications).
- Bachelor's Degree.
- 8 - 12 years experience.
- FINRA Series 7, 24 & 63 or 66.
- FINRA Series 4 & 53.
Company: Insurance Broker
Location: California
Job ID: 17239
RESPONSIBILITIES:
- Plans, implements and manages the daily activities of the Operations team.
- Leads and manages staff and business function.
- Recommends process improvements to streamline activities and build efficiencies.
- Resolves escalated client and departmental issues.
- Directs the daily activities of the Brokerage Services, Account Maintenance, New Accounts and Trading teams.
- Monitors the performance of the Operations department ensuring quality customer service and compliance.
- Directs the implementation and management of all operational service standards, policies and procedures. Suggests improvements to management.
- Implements new software and software updates for the Operations department.
- Ensures procedures and workflow are updated and executed.
- Investigates, researches and resolves most complex or escalated customer service issues. Works with clearinghouse firm to resolve account and/or financial representative issues.
- Attends cross-functional team meetings with a view on improving operations.
- Attends Company Operations conference call and Transition conference calls.
- Attends new branch transition calls to introduce the operations department.
- Directs staff and is accountable for personnel actions including hiring, performance and salary reviews, disciplinary action and firing.
- Provides direction and guidance to associates and coordinates training, both on-the-job and formal training opportunities.
- Other duties as assigned.
QUALIFICATIONS:
- Excellent understanding of Company Operations processes and procedures.
- Excellent knowledge of trading, equity markets and regulatory requirements.
- Excellent knowledge of financial services industry.
- Ability to establish and maintain effective client relationships.
- Ability to coach and train team members.
- Ability to multi-task and prioritize to meet deadlines.
- Requires attention to detail and organization skills.
- Excellent written and verbal communication skills.
- Strong PC skills (MS Word, Excel, Outlook and other applications).
- Bachelor's Degree.
- 8 - 12 years experience.
- FINRA Series 7, 24 & 63 or 66.
- FINRA Series 4 & 53.
