AVP Operations - Northwest Financial Advisors

5 days left

Location
Herndon, Virginia
Posted
Sep 02, 2022
Closes
Oct 02, 2022
Ref
2124
Hours
Full Time
Overview

The AVP of Operations will oversee the daily operational processes and procedures, ensuring the team is following all documented workflows and that all regulatory requirements are being met. They will also work with the CCO/SVP Operations & Compliance to ensure readiness for LPL and all other regulatory exams or audits. The AVP of Operations will also lead and provide continuous training, upskilling, and feedback to direct reports of the Operations Team

Responsibilities

  • Effective and efficient Operations Team Management
  • Manage a team of 5 Operations Specialists, 1 Team Lead, and a receptionist
  • Provide ongoing employee development feedback and annual employee reviews
  • Provide Operation specific training to staff
  • Facilitate effective communication between sales and support staff to ensure processes and tasks are completed most efficiently and effectively
  • Provide support to Advisors and Client Service Assistants/Associates on any operational issues
  • Remain current and uphold all firm and LPL policies
  • Remain current and uphold all FINRA and SEC regulations
  • Work with CCO/SVP of Operations & Compliance on all LPL, FINRA, or SEC exams/audits
  • Assist SVP with research and resolution of any customer complaints or other issues that arise
  • Serve as an OSJ Delegate, performing various tasks as needed, such as trade blotter review, new accounts document review, email review, etc.
  • Establish and amend operational processes and standards for brokerage and advisory business
  • Produce monthly asset reporting and deliver to CEO, Program Manager, and CCO
  • Maintain a Medallion Signature Guarantee Stamp and comply with all STAMP guidelines
  • Act as the point of contact and/or business owner of Operations specific technology
  • Remains cognizant of and adheres to NWFCU policies and procedures as well as regulations pertaining to the Bank Secrecy Act (BSA)

Qualifications

Required

  • Expert knowledge of Broker-Dealer and RIA Operations
  • Knowledge of FINRA and SEC Regulations
  • Strong Collaborator and team builder
  • Bachelor's degree or equivalent experience
  • Minimum 5 years of financial services experience
  • FINRA Series 7 License
  • Series 63 & 65 or 66 License
  • Series 24 License (or able to obtain within 6 months)
  • To perform this job successfully, the individual must be detail-oriented, able to prioritize daily department activities, with an excellent understanding of particularly time-sensitive tasks, provide optimal quality control, and take initiative. This individual must provide the leadership and support needed to foster a positive attitude in employees and the teamwork mentality needed to have a highly successful operation


As a COVID-19 safety measure, our employees must provide vaccination status and follow all safety protocols, which may include testing.

EEO Notice

Northwest Federal Credit Union is an Equal Opportunity Employer and will consider all qualified applicants without regard to race, color, age, religion, sex, sexual orientation, gender identity, genetic information, national origin, disability, protected veteran status or any other classification protected by law.

NWFCU complies with federal and state disability laws and makes reasonable accommodations for applicants and employees with disabilities. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact the Human Resources Department at 703-709-8900 or HRDepartment@nwfcu.org.