Operations Manager

Basic Function:

The individual will supervise the 7 person operations department of a securities broker dealer that provides brokerage services to financial institution clients.  Areas of responsibility include the order desk, call center, cashiering, transfers, and new accounts. The candidate must possess the interpersonal skills required to effectively and professionally communicate with all levels within the company as well as outside vendors and partners.



Principle responsibilities:Supervise service call centerReceive and process orders for stocks, bonds, mutual funds, annuities and optionsReview and approve new accountsManage transaction approval queueReview and reconcile house account activityProcess trade correctionsProcess incoming and outgoing transfersProcess incoming and outgoing checks and wires 

Knowledge, skills and abilities:Prior customer service/call center supervisionWorking knowledge of stocks, bonds, options, mutual funds, and annuitiesVery strong verbal and written communication skills

Education and experience:

· Know product lines, compliance rules and sales practices

· 2-4 years support-related work experience desired

License/Certification Requirements:Series 4, 7, 24 (or obtained within 6 months of employment)

Physical requirements:

· Frequent:  Sitting; listening; using hands to finger, grasp, handle or feel; seeing.

·Occasional: Standing; talking; carrying; reaching; walking; stooping or crouching; pulling or pushing; lifting up to 10-20 pounds

· Infrequent travel required

 

About Essex National Securities:

Established in 1989, Essex National Securities, Inc. (ENSI), member FINRA/SIPC, is an independent broker/dealer, solely dedicated to providing financial institutions with the support, tools and services you need to grow a successful investment services program. ENSI has relationships with a broad range of partners, providing full access to a wide spectrum of financial products including fixed and variable annuities, discount brokerage, mutual funds, managed money programs, as well as all types of life insurance and long-term care.


We offer a competitive benefits package including a company matched 401(k)plan.