Director, Operations and Administration

Essential Duties and Responsibilities

• Manages all aspects of mid to large sized or moderately complex projects through their entire project lifecycle (product planning, initiation, planning, execution, closure).

• In partnership with leadership team, documents and implements programs, projects or processes for a major segment of a complex function. Major segments may include legal, errors and omissions, contract review, marketing, conference planning, operations & technology.

• Provides leadership, best practices and execution for transition activities related to tape to tape (Mass Account Transfer) and individual advisor transitions.

• Participate and contribute in transitions working groups.

• Serve as a liaison to other teams working to improve transition process.

• Participate in recruiting and onboarding presentations as SME on transition process.

• Serve as a central point of control for updates to policies, procedures, and legal agreements (Networking Agreements, NDIP, FA Agreement, etc.).

• Provide leadership on important legal and compliance related items: Interagency Statement, OSJ Pricing, State Inquiries, etc.

• Work with legal department and division leadership to update and respond to legal contract revisions during negotiation process.

• Provide leadership for important roundtable discussions, including: FID Tech Council, Operations leadership study group, and Compliance and Supervision Summit.

• Lead important critical projects for FID division, leveraging RJFS resources and divisional teams to support critical items.

• Serves as liaison to IT to drive key initiatives and ongoing support for branches.

• Participate as part of FID leadership team to provide input from an operations and regulatory standpoint on items critical to FID.

Knowledge of

• Company’s working structure, policies, mission, strategies, and compliance guidelines.

• Economic and accounting principles and practices, the financial markets, banking, and analysis and reporting of financial data.

• Advanced concept, practices and principles of project management.

• Advanced concepts of risk, issue and change management.

• Basic principles of banking, finance and securities industry operations.

• Basic principles of procurement, contract and vendor management.

Skill in

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

• Preparing and delivering clear, effective, and professional presentations.

Ability to

• Partner with other functional areas to accomplish objectives.

• Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.

• Incorporate needs, wants and goals from different business unit perspectives into strategies of the business unit.

• Attend to detail while maintaining a big picture orientation.

• Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

• Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.

• Articulate reasons behind decisions.

• Keep all appropriate parties up-to-date on decisions, changes, and other relevant information.

• Establish and maintain effective working relationships with others.

• Identify problems, gather facts, and develop solutions.

• Provide a high level of customer service.

Education/Previous Experience

• Bachelor’s degree (B.A./B.S.) from four-year college or university and a minimum of eight (8) years managerial experience in a retail financial services firm.

• OR ~

• Any equivalent combination of experience, education, and/or training.

Licenses/Certifications

• SIE required provided that an exemption or grandfathering cannot be applied.

• Series 7, 63 are required or to be obtained within twelve (12) months of start date in this position.

Travel Required:

• Yes, 25 % of the Time