Operations, Senior Manager - Client Onboarding

Job Description

What is the opportunity?

This position leads and manages the Client Onboarding department within US Wealth Management Operations, ensuring overall performance meets or exceeds company standards for service, innovation, and professionalism. This includes providing direct leadership to the managers of the New Accounts, Document Processing, and Document Imaging teams, and responsibility for process management, managing capacity levels, escalations, and risk management across the department. The incumbent must understand regulatory and organizational risks associated with work processes, how work is processed from beginning to end, and dependencies on other areas and departments. This role will be responsible for adjusting processes, systems, and structure within the department to evolve with key initiatives, drive efficiency, and provide a second to none experience to our customers.

What will you do?

• Lead, inspire, and engage department members to deliver exceptional service, exceed SLAs, innovate to drive efficiency, and contribute to a positive work environment.
• Provide work direction, coaching, and development to team members on leadership skills, processes, systems, and best practices.
• Accept and successfully execute change while supporting employees through the process and keeping them focused on business priorities.
• Manage risk through effective controls and ensuring processes are performed according to prescribed regulations and established policies and procedures.
• Establish and maintain professional relationships within Operations, across business lines, and with field partners.
• Review, design, and implement new processes and procedures to increase department efficiency, reduce expense and risk, or enrich service.
• Provide focus and clarity in establishing individual goals; driving performance management, supporting career development and rewarding strong performance.
• Analyze and resolve escalated issues.
• Keep abreast of industry regulations, trends, and technologies.

Must-have

• 4-year degree from an accredited university or equivalent or High school diploma or equivalent AND 5+ years of securities, banking, technology and/or job specific industry experience
• 5+ years prior securities, banking, technology and/or job specific related industry experience
• FINRA Series 7 or 99 registration (or able to obtain within 120 days).
• 3+ years people leadership experience

Nice-to-have

• Strong interpersonal skills, including leadership, facilitation, negotiation, verbal & written communication skills, and comfort working with senior executives
• Strong analytical, trend analysis, problem identification, and resolution skills
• Ability to multi-task, prioritize, and work independently under tight deadlines in a fast-paced environment
• Working knowledge and understanding of Broker Dealer operations and systems related to Client Onboarding and Account Transfers
• Fully proficient with MS Office (Word, Excel, PowerPoint, and Outlook)

What’s in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
• Leaders who support your development through coaching and managing opportunities
• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team
• Flexible work/life balance options
• Opportunities to do challenging work
• Opportunities to take on progressively greater accountabilities  
• Access to a variety of job opportunities across business

Job Skills

Adaptability, Decision Making, Delegating Tasks, Interpersonal Relationship Management, Operational Delivery, People Leadership, Process Improvements, Time Management

Additional Job Details

250 NICOLLET MALL:MINNEAPOLISMinneapolisUnited States of America40Full timeWealth ManagementRegularSalaried2024-03-042024-03-22