Advisory & Managed New Accounts Operations Supervisor I Memphis, Tn
Willenborg Wealth Management
Memphis, TN, US
Base salary components included; + compensation ma...
Hybrid
Supervisory experience in brokerage operations
Deep knowledge of managed accounts and smas
Understanding of finra and sec regulations
This role involves leading a team to ensure accurate and timely processing of investment account documentation and onboarding activities within a hybrid work environment
Job Summary
This role involves leading a team to ensure accurate and timely processing of investment account documentation and onboarding activities within a hybrid work environment.
The position requires deep expertise in managing separately managed accounts (SMAs), unified managed accounts (UMAs), and fee-based advisory platforms while mitigating operational risk.
Candidates will be responsible for developing business plans, forecasting performance against KPIs, and ensuring all activities align with FINRA, SEC, and internal compliance requirements.
Matching Summary
This role involves leading a team to ensure accurate and timely processing of investment account documentation and onboarding activities within a hybrid work environment.
Salary
Base salary components included; additional compensation may include cash or equity; discretionary bonuses or commissions possible
Skills & Requirements
Must-have
Supervisory experience in brokerage operations
Deep knowledge of managed accounts and SMAs
Understanding of FINRA and SEC regulations
Experience with investment product onboarding
Strong risk awareness and operational controls
Nice-to-have
Ability to drive process improvement initiatives
Strong analytical skills for performance metrics
Effective coaching and team development skills
Experience collaborating with compliance stakeholders
Key Requirements
Series 99 required or ability to obtain within 120 days