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Digest #1944
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Senior Manager, Institutional Advisor Risk Operations - Fort Worth, by "Keith Bogen SPHR" hrslugger2002
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Wed Jul 30, 2014 1:57 pm (PDT) . Posted by:
"Keith Bogen SPHR" hrslugger2002
Senior Manager, Institutional Advisor Risk Operations.
Brokerage Services firm.
Fort Worth, TX.
Req.: Minimum 7 years related experience, Series 7 & 63 current, Series 24 within 90 days of hire.
Our client is a leading provider of brokerage and investment services.
The senior manager will manage a team (1 direct report and 10 associates
indirect) and oversee several programs focused on monitoring and
responding to Advisor behavior, analyzing a variety of factors in
efforts to either onboard new or terminate existing Advisors, as well as develop and lead a program formalizing accommodation requests from
Advisors -- all of which will result in reporting of metrics and risk
indicators, as well as quantification of the risks presented within the
business.
Responsibilities:
· Provide strategic vision and direction to team with defined goals and deliverables
· Provide Manager and Associates with challenges and opportunities to grow and develop
· Provide effective and thorough feedback with formal performance evaluations quarterly and annually
· Mgt Fee oversight, annual RIA reviews, onboarding of RIAs, termination process, Exceptions, reporting
· Continual focus on process improvements and automation
· Handle escalations arising from business operations or team
· Provide risk perspective on business initiatives and projects
· Continually establish and improve relationships with corporate partners in Risk, Legal, and Compliance
· Establish and maintain positive relationships with business unit management and leaders
· Lead or partner with broader division management team on risk management information sharing and education
· Continually pursue avenues to increase risk knowledge of self and broader division team and overall business management
Requirements:
· 4-year college degree preferred
· 7-10 years related experience
· Knowledge of RIA-Institutional business, systems, processes
· Strong leadership and influential skills
· Series 7 and 63 required
· Series 24 (Required within 90 days if not currently held)
· Knowledge of risk a major plus
· CPA, PM, MCSE a plus.
If qualified, email resume & compensation requirements to: elisa.sheftic@rightexecutivesearch.com.
****
http://www.Linkedin.com/in/elisasheftic
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