The Business Service Manager will work closely with the Complex Business Service Officer to supervise, manage and support all business and service functions within the Complex. Additional job duties include facilitating communication and training for service staff, and partnering with the Complex Risk Officers in ensuring compliance standards are met. The Business Service Manager will report directly to the Complex Business Service Officer.
- Primary responsibility for the business and service functions, with focus on consistency, quality, and compliance with Firm policies and procedures
- Responsible for supervision of support staff including managing their training and development
- Expense management including budget tracking, headcount ratios, travel and expense reports and other programs with a focus on adherence to firm policies
- Manage and promote firm initiatives, projects and remediations
- Work with Complex Business Service Officer and Human Resources on employee related issues
- Collaborate with their team on the new hire process and training orientation, including coordinating operational and client service support for newly recruited Financial Advisors and their support staff
- Partner with Complex Risk Officers on branch exams and corrective action plan implementation
- Manage service transaction approvals, including escalations from the Service Review Unit, Branch Workflow and Branch Transfer Portal
- Act as liaison between the complex and various departments within the Firm as necessary
- Manage day-to-day resolution of client service inquiries and concerns
- Consistently conduct support staff meetings to communicate policies and procedures, share best practices and promote teamwork within the complex
- Administer other duties as delegated by the Complex Manager or Complex Business Service Officer
- Ensure compliance with Firm policies and procedures from an operations and service perspective/ including labor and wage laws FMLA, STD, LTD, OSHA
QUALIFICATIONS
EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS
Education and/or Experience
• Bachelor’s degree required or equivalent education or experience
• Previous industry experience
• Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66)
• Other licenses as required for role or by management
Knowledge/Skills
• Effective written and verbal communication skills
• Strong attention to detail
• Ability to prioritize and resolve complex problems and escalate as necessary
• Ability to identify issues and trends in order to anticipate change and provide comprehensive solutions and remedies
• Evidence of strong leadership capabilities or previous supervisory experience
• Exceptional organizational and conflict resolution skills
• Ability to manage relationships, motivate and lead groups of people at various levels throughout the Complex
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