Lead the Operations Support department through delegation of tasks and responsibilities for multiple teams Conduct performance evaluations, compensations, hiring, disciplinary actions, and terminations of team members as well as determining staffing needs Monitor team’s end results, ensuring quality and efficiency and contributes to resource planning, budget management and formulation of procedures Contribute to development of new techniques, models, and plans within area of expertise Facilitate alignment of the Operations Support infrastructure through focused technologies and processes Ensure compliance with government regulations as they pertain to retail accounts serviced through the evaluation and implementation of appropriate control and testing measures Provide evaluative judgement based on analysis of information and in-depth knowledge of policies and procedures in complicated and unique situations Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firms reputation and safeguarding Leading Financial Services Company, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards. Qualifications: 5-8 years of experience managing a team Experience in analyzing business requirements, developing test plans, and discrepancy resolution Required Licensing/Registration: Series 7, Series 9, Series 10, and Series 63 Ability to work unsupervised and adjust priorities quickly as circumstances dictate Ability to work under pressure and manage deadlines or unexpected changes in expectations or requirements Self-motivated and detail oriented Proven organization and time management skills Demonstrated problem-solving and decision-making skills Consistently demonstrates clear and concise written and verbal communication skills Education: Bachelor’s degree/University degree or equivalent experience

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