Manager

Overall Responsibility:

• Oversee daily operation of department with First Time Right Approach across different teams / functions
• Manage resources at the local level (a team/unit within a department or a small department)
• Manage staff in the development and implementation of departmental policies, procedures and programs.
• Ensure adherence to company policy and governmental regulations.
• Assist in managing departmental structure, employee development, training and planning. FINRA licenses as required.
• Help build, monitor and manage the execution plan for the India GBS Wealth Management team.
• Understand advisor sales processes, home office submission processes, compliance and regulatory landscape and implications, understand and balance multiple risks.
• Build processes, procedures, workflows, and communication standards that display a concierge model which is founded on advisor ease of doing business
• Lead a team of associates to reach full potential and shared goals consistent with the strong culture already present
• Develop and manage daily and other periodic key performance metrics and dashboards which include quality, cycle time, service levels and advisor satisfaction and net promoter scores
• Create and monitor a robust diversity and inclusion strategy that delivers better business results and imbeds diversity & inclusion into the culture of the team.
• Engage and inspire others to build a culture of innovation, inclusion, and diverse thought leadership
• Utilize continuous improvement tools and techniques to constantly check and adjust to ensure we maintain our key metrics and meet expectations of our advisors.
• Partner with other areas within MMLIS to ensure best practices and efficiencies.
• Assist in managing the annual operating budget for the team and interface with corporate finance partners
• Identify opportunities to identify strengths of the new organization and leverage across the broader team
• Partner closely across the organization to ensure collaboration and connections are made across projects, priorities, and functions
• Other assignments as needed

Candidate Qualifications:

• Bachelors / Master’s degree in Finance or related extensive business experience required
• FINRA supervision requirements: Non-Registered Fingerprinting (NRF) submission and personal trading account oversight.
• Demonstrated abilities and experience in the Wealth Management and/or Financial Services industries.
• 15+ years of Wealth Management / Investment Banking/ Capital Markets/ Financial Services operational experience in one or more disciplines preferred: New Business, Cashiering, TOA, Account Maintenance, Advisory Maintenance, Investor communication, Remote Cheque Deposits, Advisor Loans & Transitions, Data Management, Financial Planning etc.
• Strong understanding of BD/RIA operational platforms and workflows
• Abreast of industry rules and regulations, and ability to balance risk
• Strong analytical and problem-solving skills with superior communication & articulation, documentation and organizational skills
• Successful experience leading employees including building culture and career development of associates
• Must be a collaborative partner within the broader Wealth Management teams
• Expert at juggling multiple priorities through strong leadership and collaboration skills