The Operations Manager leads the daily operational activities and approvals (e.g., new accounts, funds received and delivered, trade processing, etc.) in the complex/branch and ensures that activities run smoothly, efficiently and meets service excellence standards. As the Operations Manager you will lead all BSAs within the complex/branch and provide guidance, training and coaching needed to ensure they can perform all operations tasks and responsibilities. Together with your Complex Administrative Manager you will align complex resources and coordinate operations staff for coverage in all related areas. You will perform delegated supervisory functions, approvals and authorizations for the complex.
- Manage the day to day branch operations to ensure operational excellence
- Communicate, implement and ensure compliance with firm operational guidelines and policies and support the branch operational risk and audit process
- Oversee and perform operational approvals such as: review and approve account opening and maintenance, funds/securities received and disbursed, correspondence and communications with the public, trade errors/corrections, etc.
- Monitor and manage operational costs
- Manage operation's related client issues and complaints following firm policy and regulatory requirements
- Coach and educate all employees on operational policies and procedures and the UBS platform
- Recruit, select, onboard, train and manage operational support staff (i.e., BSAs)
- Conduct performance reviews and make personnel decisions such as compensation and promotions of operational support staff in accordance with firm policy
- Implement service excellence standards, including coaching and educating operational support staff on the Client Experience best practices and suitability
- Monitor client accounts and transactions.
- Perform delegated supervisory functions, approvals and authorizations for the complex.
- Support and drive strategic firm initiatives
- A minimum of 3 to 5 years recent work experience as a Branch Operations Manager within a Wealth Management Branch Office of a leading financial services firm required
- Series 7, 66, 8 or 9 & 10 required
- Bachelor's Degree is helpful but not mandatory
- Candidates must be proficient with Microsoft Suite Applications, including Outlook, Word & Excel
- Bilingual language skills of Spanish and English a plus
- Must have operations experience in the industry
- Proven management and decision making skills a must
- Prior experience in managing and development of staff to create a positive branch business culture
- Must be highly motivated with a commitment to succeed
- Ability to leverage resources and delegate effectively
UBS - 16 months ago
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