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Registered Group Operations Manager

Chandler, Arizona

Job Description:

Manages a major segment or multiple smaller units across one or more locations in a GWIM support operations function for one or more product areas such as funds transfer, collateral mgt/margins, corporate actions, static data/data management, control, trader support, clearance/settlement, documentation/confirmations, customer service, in-bound call center, new accounts or client valuations. Functions managed typically have high monetary/financial exposure, regulatory risk and client impact. Decisions have significant impact affecting multiple operations functions, product lines and client relationships. Serves as an escalation point to resolve broad and complex operational issues. Develops and implements procedures to enhance unit productivity, efficiency and manage business change. Responsible for budget/expense management, reporting and forecasting for operations areas managed, compensation decision, talent planning, and performance management at a senior level. This associate may also be responsible for managing initiatives of significant scope and scale. Requires broad business knowledge and expertise in management gained through increasingly more responsible roles in the industry. An associate in this role would often identify strategic and functional gaps, opportunities, and solutions across multiple functions and platforms. Associates at this level are often required to interact with senior management within Operations, the Front Office, and other support units as well as managing relationships with key vendors and clients. This role typically requires 10 + years’ experience in operations functions and leadership/management a thorough working knowledge of the operational aspects, systems, and applications supporting transactions and products.

Required Skills:

  • Executive Presence - excellent interpersonal, written and verbal communication skills to positively influence across all levels within the Enterprise
  • 10+ years leadership experience with proven history of high performance and measurable results
  • Role requires FINRA Series 7, Series 63 and Series 24 licenses OR must obtain all licenses within 240 days
  • Proven ability to lead and motivate a diverse group of employees
  • Ability to work in a team environment, focus on high quality execution

Preferred Skills:

  • Contact Center Experience
  • Relationship Management
  • Institutional/Personal Retirement
  • Banking/Brokerage  Experience
  • Operations Experience
  • Finance Experience
  • Operational/Process Excellence/Improvement


1st shift (United States of America)

Hours Per Week: 


Learn more about this role

Full time


Manages People: Yes

Travel: Yes, 5% of the time


Talent Acquisition Contact:

Referral Bonus:

Street Address

Primary Location:
2505 W CHANDLER BLVD, AZ, Chandler, 85224