Title: Vice President, Investment Services (826-5)
Location: Akron, OH
Compensation: Commensurate with experience
Summary/Responsibilities:
Create and administer an overall plan for the management of the department and convey this plan to the senior executive team. Such a plan provides clearly articulated departmental goals which includes key projects and initiatives of the entire organization, projected expense budgets, saving opportunities and anticipated capital investments required, along with the necessary controls and procedures to effectuate the plan
Manage the department day-to-day in line with this plan to ensure expenditures are within budget and that progress is being made towards the stated goals as measured by defined metrics and clearly stated objectives
Attract, develop and retain personnel by providing clear direction, expectations, leadership, mentoring and coaching
Establish annual goals and incentives for direct reports along with performance reviews for each team member
Develop and oversee all aspects of operations necessary to support the products, services and programs of the broker dealer and RIA.
Manage the clearing firm relationship, direct business processing units, brokerage account functions, registered investment advisory services and new business suitability review
Understand industry technology and identify new and improved ways to process business electronically, drive the adoption of electronic based platforms and, where appropriate, incorporate the use of technology into both the advisor and retail investor client experience
Establish and implement operational standards, workflows and quantitative objectives that work together to achieve the goal of increased customer satisfaction and greater value creation
Operate in a continuous improvement fashion including looking for ways to streamline processes, improve unit costs and deliver higher levels of service
Function as a liaison to vendor partners
Lead the team via an overall strategy aimed at identifying and implementing process improvements, removing operational barriers, driving efficiencies through leveraging technology, ensuring service quality aligns with business initiatives, and creating a culture of client advocacy
Requirements:
B.S. Degree in Finance, Accounting or Business Administration required
MBA preferred
FINRA licensing Series 7, Series 24 (ideally Series 63, Series 65 or Series 66)
Minimum of 5 years management experience working in an operational capacity in a broker-dealer and a registered investment advisor
Familiar with the Tamarac/Envestnet platform and other general investment advisor operational and trading platforms
Familiar with the Pershing clearing platform and NetX360
Thorough working knowledge of FINRA governed broker-dealer products and services as well as SEC advisory products and services
Strong working knowledge of FINRA and SEC compliance
Proficient in key industry leading operational technologies and has an understanding of how to incorporate them into the business processing and workflow (Examples: Tamarac, Albridge, LaserApp, Docusign, etc.).
Possess prior experience and success with leveraging technology to drive efficiencies and enhance customer service
Demonstrates strong execution skills – drive for results, resourcefulness and sense of urgency with a track record of success in previous roles managing and leading broker dealer/RIA operational projects and initiatives
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Zach Stierhoff
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x102
zach@brokerageconsultants.com
www.brokerageconsultants.com
Location: Akron, OH
Compensation: Commensurate with experience
Summary/Responsibilities:
Create and administer an overall plan for the management of the department and convey this plan to the senior executive team. Such a plan provides clearly articulated departmental goals which includes key projects and initiatives of the entire organization, projected expense budgets, saving opportunities and anticipated capital investments required, along with the necessary controls and procedures to effectuate the plan
Manage the department day-to-day in line with this plan to ensure expenditures are within budget and that progress is being made towards the stated goals as measured by defined metrics and clearly stated objectives
Attract, develop and retain personnel by providing clear direction, expectations, leadership, mentoring and coaching
Establish annual goals and incentives for direct reports along with performance reviews for each team member
Develop and oversee all aspects of operations necessary to support the products, services and programs of the broker dealer and RIA.
Manage the clearing firm relationship, direct business processing units, brokerage account functions, registered investment advisory services and new business suitability review
Understand industry technology and identify new and improved ways to process business electronically, drive the adoption of electronic based platforms and, where appropriate, incorporate the use of technology into both the advisor and retail investor client experience
Establish and implement operational standards, workflows and quantitative objectives that work together to achieve the goal of increased customer satisfaction and greater value creation
Operate in a continuous improvement fashion including looking for ways to streamline processes, improve unit costs and deliver higher levels of service
Function as a liaison to vendor partners
Lead the team via an overall strategy aimed at identifying and implementing process improvements, removing operational barriers, driving efficiencies through leveraging technology, ensuring service quality aligns with business initiatives, and creating a culture of client advocacy
Requirements:
B.S. Degree in Finance, Accounting or Business Administration required
MBA preferred
FINRA licensing Series 7, Series 24 (ideally Series 63, Series 65 or Series 66)
Minimum of 5 years management experience working in an operational capacity in a broker-dealer and a registered investment advisor
Familiar with the Tamarac/Envestnet platform and other general investment advisor operational and trading platforms
Familiar with the Pershing clearing platform and NetX360
Thorough working knowledge of FINRA governed broker-dealer products and services as well as SEC advisory products and services
Strong working knowledge of FINRA and SEC compliance
Proficient in key industry leading operational technologies and has an understanding of how to incorporate them into the business processing and workflow (Examples: Tamarac, Albridge, LaserApp, Docusign, etc.).
Possess prior experience and success with leveraging technology to drive efficiencies and enhance customer service
Demonstrates strong execution skills – drive for results, resourcefulness and sense of urgency with a track record of success in previous roles managing and leading broker dealer/RIA operational projects and initiatives
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Zach Stierhoff
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x102
zach@brokerageconsultants.com
www.brokerageconsultants.com
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