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Operations Manager

Birmingham, Alabama · Accounting/Finance
Position Title: Operations Manager
Location: Birmingham, AL
Licenses Required: Series 7, 63, and 24
Position Status: Direct Hire
Position Description:
Our client is looking for Operations Manager candidates for a position located in Birmingham, AL. The position will involve managing a team within Brokerage Operations for a large bank. Functions managed include compliance responsibilities relating to communications review of licensed associates of the broker dealer as well as supporting reporting needs for management, audit and regulatory purposes. Manager will also participate and contribute to department initiatives and transformation projects.
Primary Duties and Responsibilities:
  • Manage team functions to ensure duties are performed in an accurate and timely manner.
  • Ensure compliance with established policies & procedures and meeting defined service levels.
  • Establish employee performance expectations; provide training and resources to support development of employees.
  • Interact with related functional teams at clearing broker dealer for process support and issue resolution.
  • Maintain expertise of system processes and workflows to ensure team responsibilities are both effective and efficient.
  • Lead/participate in department projects and initiatives.
  • Provide management reporting as assigned.
  • Support audit engagements and regulatory exam requests
  • Manage expenses within budget.
Qualifications- Minimum Qualifications Include:
  • Securities licenses 7, 63 and 24
  • 5+ years of experience in the brokerage or securities industry
  • 5+ years of experience in management, including managing teams and projects, along with background in employee development and career coaching
  • Ability to identify risk and mitigate
  • Excellent customer service, negotiation, planning, and organizational skills
  • Highly proficient in Microsoft applications
  • Ability to multitask In addition, ideal candidates will also have the following desired qualifications:
  • Bachelors degree in finance, accounting or general business (or related)
  • Experience with NetX360 brokerage platform.
  • Extensive knowledge of operations and related regulatory requirements is preferred
About Seneca Resources:
Seneca Resources is a client driven provider of strategic Information Technology consulting services and Workforce Solutions to government and industry. Seneca Resources is a leading IT services provider with offices in Virginia, Alabama, Georgia, Pennsylvania and Texas that service clients throughout the United States.
We are an Equal Opportunity Employer and value the benefits of diversity in our workplace.

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