Senior Assistant Operations Manager

Description To assist the Operations Manager with administrative functions to minimize risk and assureefficient client-focused service. Responsibilities (Exempt) · Assist in managing the daily work of branch operations staff, ensuring that work is accurately and efficiently processed, providing service to clients, and protecting the Firm from financial loss and liability. · Assist Operations Manager in supervising and coordinating operations staff and work assignments. · Evaluate workloads and problem areas within operations with Operations Manager to recommend potential reassignments or training. · Assist Operations Manager in supervising and cross-training operations staff and sales assistants. · Research and resolve problems in clients. accounts. · Supervise handling of errors and maintain error account file. · Research and collect unsecured debits. · Provide operations orientation for new Financial Advisors. · Meet regularly with the Operations Manager about significant events and daily operational procedures. · Responsible with Operations Manager for employment functions including interviewing, hiring, performance appraisals, coaching, counseling and disciplinary actions. · Help to ensure support staff understands and follows all rules and regulations of the regulatory agencies as well as Firm policy and procedure. · Supervise a weekly audit of unused checks, and receipts to ensure security. · Review branch examination findings with Operations Manager; assist in responding to audit and implementing recommendations. · Be alert for compliance violations and developing client problems, report any unusual or unethical situations to the Operations Manager. Minimum Qualifications · Series 7, 8 or 9/10 and 63 preferred, but may be required in certain circumstances. · 3 or more years of operations experience. · Extensive knowledge of branch operations, procedures and systems. · Ability to communicate with co-workers and clients. · Ability to perform the functions of Operations Associate, Senior Operations Associate, Registered Operations Associate. · Knowledge of applicable industry regulations and practices. · Strong math and basic accounting knowledge. · Strong analytical, interpersonal and writing skills. · Ability to perform under pressure and meet deadlines. · High school diploma or equivalent. For consideration, please email resumes to joel.j.dube@smithbarney.com Key Words:Financial Advisor, Broker, Investment Advisor, Investment Consultant, Financial Consultant, Financial Planner, Financial Services, Sales, Sell, Business Development, Marketing, Prospecting, Client Service, Series 7, Series 66, Career Change, Career Transition, Mutual Funds, Stocks, Bonds, IRAs, Lending, Insurance, Estate Planning Job Title Senior Assistant Operations Manager Company Smith Barney Location Boston, MA 02109 Status Full Time Job Category Administrative/Clerical Career Level Experienced (Non-Manager) Company Smith Barney Reference Code SAOM - 382