Janney Montgomery Scott LLC
Complex Operations Manager - Warwick, RI
Janney Montgomery Scott LLC, Warwick, Rhode Island, us, 02888
Complex Operations Manager - Warwick, RI
Janney is an award‑winning full‑service financial services firm committed to providing clients with advice beyond investments. We build a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally.
Role Summary The Complex Operations Manager oversees all operational and administrative functions for a group of branch offices (the Complex). In partnership with the Complex Manager, Compliance, and Operations teams, the role ensures efficient service delivery, staff management, and operational excellence.
Major Responsibilities
Supervise branch operations functions: cashiering, check disbursements, correspondence processing, account transfers, margin, wire traffic, home office reporting, order ticket maintenance, and client communication.
Recruit, train, and develop Complex support staff (Private Client Associates & Operations Assistants) to provide superior client service in line with Janney policy and SRO rules.
Lead regular staff meetings for policy training and open dialogue.
Provide performance feedback, conduct annual reviews, and collaborate with HR on any performance issues.
Coordinate workflow within the office and act as a resource for training, coaching, and mentoring.
Maintain up‑to‑date knowledge of all products, services, technology, forms, and systems.
Assist with onboarding new Financial Advisors at the branch.
Support Complex recruiting activities with the Regional Assistant and Home Office.
Perform additional duties to enhance the effectiveness of the Complex.
Requirements & Qualifications
High School diploma; Bachelor's degree preferred.
Professional licenses: Series 7, 9, and 10 plus 63 or 65 (or 66).
Excellent customer‑service skills and strong attention to detail.
Proficient with Word, Excel, PowerPoint, and Outlook.
Ability to work effectively in a fast‑paced, deadline‑oriented environment and as part of a team.
Some travel may be required.
High ethical standards.
Benefits Competitive compensation package includes paid parental leave, generous paid time off, a $2,000 referral bonus, and a Professional Development Assistance Plan to support your growth at work and at home.
Equal Employment Opportunity Janney is committed to diversity, equity and inclusion. We provide a respectful workplace that values integrity, teamwork, achievement and acceptance for all employees regardless of age, disability, education, gender or any other protected characteristic. We offer reasonable accommodations to qualified applicants with disabilities.
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Role Summary The Complex Operations Manager oversees all operational and administrative functions for a group of branch offices (the Complex). In partnership with the Complex Manager, Compliance, and Operations teams, the role ensures efficient service delivery, staff management, and operational excellence.
Major Responsibilities
Supervise branch operations functions: cashiering, check disbursements, correspondence processing, account transfers, margin, wire traffic, home office reporting, order ticket maintenance, and client communication.
Recruit, train, and develop Complex support staff (Private Client Associates & Operations Assistants) to provide superior client service in line with Janney policy and SRO rules.
Lead regular staff meetings for policy training and open dialogue.
Provide performance feedback, conduct annual reviews, and collaborate with HR on any performance issues.
Coordinate workflow within the office and act as a resource for training, coaching, and mentoring.
Maintain up‑to‑date knowledge of all products, services, technology, forms, and systems.
Assist with onboarding new Financial Advisors at the branch.
Support Complex recruiting activities with the Regional Assistant and Home Office.
Perform additional duties to enhance the effectiveness of the Complex.
Requirements & Qualifications
High School diploma; Bachelor's degree preferred.
Professional licenses: Series 7, 9, and 10 plus 63 or 65 (or 66).
Excellent customer‑service skills and strong attention to detail.
Proficient with Word, Excel, PowerPoint, and Outlook.
Ability to work effectively in a fast‑paced, deadline‑oriented environment and as part of a team.
Some travel may be required.
High ethical standards.
Benefits Competitive compensation package includes paid parental leave, generous paid time off, a $2,000 referral bonus, and a Professional Development Assistance Plan to support your growth at work and at home.
Equal Employment Opportunity Janney is committed to diversity, equity and inclusion. We provide a respectful workplace that values integrity, teamwork, achievement and acceptance for all employees regardless of age, disability, education, gender or any other protected characteristic. We offer reasonable accommodations to qualified applicants with disabilities.
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