Chase Wealth Management – Operations Division Leader – Central Supervision
The Operations Division Leader must lead a team of Senior Operations Associates charged with reviewing various client related documents, including information related to 401k rollovers, required for account opening and account transfer purposes.
Primary responsibilities include:
- Manage a team of Senior Operations Associates as they execute delegated duties
- Ensure that all work completed by team is within guidelines
- Assist in overall effort to continually review and enhance tools, reports and programs used to monitor the review and data entry of client account opening and transfer information
- Help identify potential gaps in Firm policies and procedures, and work with Supervisory Management to continually enhance and document effective policies and procedures
- Interact with Supervisory Management as well as Compliance, Legal, Sales, Operations, Administration
- Appropriately escalate, and help resolve review and data entry issues as warranted
- Conduct quality control review and monitor for and appropriately address concerning trends and patterns
- Complete employee performance reviews annually and continually develop staff
- Excellent interpersonal, verbal, & written communication skills
- Strong organization & supervisory skills
- Strong research, analytical, problem solving and decision-making skills
- Demonstrated leadership, employee development, coaching and motivational skills
- Excellent computer navigational skills (Microsoft Office)
- At least five years of securities/investment industry experience required
- Three years of supervisory or project management experience required
- Retail brokerage experience strongly preferred
- Proven ability to work in a dynamic team environment
- FINRA Series 7, 9/10 (or 24, 53 and 4), 66 (or 63/65)
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