Branch Operations Manager

<strong>If you&rsquo;re in the market for a career move or seeking the right cultural fit in your department, you&rsquo;ve come to the right place. We&rsquo;re closing the skills gap, one placement at a time.</strong>

Louisville, KY

CGP Network

Connecting Good People is the mission every day at CGP Network.&nbsp;<br /><br />If the timing is right or close to right to take your&nbsp;skills elsewhere, contact us.&nbsp; <br />We would love to have a career conversation.&nbsp; We are always ready for those.

keywords: summary,analysis,prepare,knowledge,management,experience,certification

Experienced Full-time

Negotiable Based on Experience

Overview: <p>Reports to COO</p> <p><br />This individual will support the OSJ of the brokerage business and the Chief Compliance Officer of the advisory business handling daily compliance and operations duties for both brokerage and RIA business.</p>
Responsibilities: <p><strong>Duties Include:</strong></p> <ul> <li>Trade blotter review</li> <li>New account review and approval</li> <li>Email review</li> <li>Correspondence review</li> <li>Monthly OSJ and CCO review tasks</li> <li>Marketing and advertising oversight</li> <li>Responsible for preparing for and managing branch audits, SEC examinations and requests for information, and all other regulatory matters</li> </ul>
Requirements: <p><strong>Requirements: </strong></p> <ul> <li>At least five years of financial services experience</li> <li>Knowledge of compliance in the financial services industry</li> <li>Knowledge of insurance products and processes</li> <li>Knowledge of investments, trusts, and financial planning</li> <li>Strong analytical, organizational, multi-tasking, and follow-up skills</li> <li>Excellent written and verbal communication skills</li> <li>Excellent PC skills, including Microsoft Word, Excel, PowerPoint, and Outlook</li> <li>Must be comfortable interacting with co-workers, clients, and management</li> </ul> <p><strong>Required:</strong></p> <ul> <li>Series 7, 66, and 9/10 (or 24) registrations</li> <li>Life and health insurance licenses</li> </ul>