OPERATIONS MANAGER

Ascendo is excited to present this opportunity in the financial services industry. We are seeking an exceptional individual to join our client's team as an Operations Manager . This is a management-heavy position, and the ideal candidate will have extensive knowledge of FINRA regulations, a strong background with custodian platforms, and a 3+ years of experience in a similar role. This is an amazing opportunity for a seasoned professional to lead a dynamic team make a significant impact on our operations.

Responsibilities:

• Lead a team of 10+ individuals responsible for various client servicing tasks, including account openings and asset management.
• Review and approve new account documentation and client financial information to ensure compliance with company policies.
• Supervise the daily workflow of the operations department and distribute tasks to meet operational plans.
• Serve as a key point of contact for internal projects and process improvements within the department.
• Handle operational escalations and provide guidance to team members on complex issues.
• Participate in the hiring and training of new team members, providing performance feedback and mentorship.

Qualifications:

• Bachelor's degree in Business Administration or a related field, or equivalent professional experience.
• Demonstrated experience with FINRA rules and regulations.
• Proficiency with various multi-custodian platforms and financial industry products.
• Possession of FINRA licenses 7 and 66 required. Additional licenses in the operations space like the Series 99 or Series 24 are highly considered.
• Exceptional leadership, communication, and interpersonal skills.
• Strong analytical abilities and a detail-oriented approach to problem-solving.
• Proven ability to manage multiple tasks and prioritize effectively in a fast-paced environment.
• Strong understanding of legal documentation and compliance regulations, including AML.

ALL RESUMES RECEIVED WILL REMAIN HIGHLY CONFIDENTIAL AND NOT RELEASED TO ANYONE WITHOUT YOUR CONSENT.