Financial Advisory Operations Manager (Roof Advisory Group, Inc.)

Financial Advisory Operations Manager (Roof Advisory Group, Inc.)

16 May 2024
Pennsylvania, Harrisburg 00000 Harrisburg USA

Financial Advisory Operations Manager (Roof Advisory Group, Inc.)

Vacancy expired!

Position Overview

The primary role of the Operations Manager position is accountability for the administration of all ongoing activities associated with the operations and administration of the clients investment accounts including, but not limited to; records maintenance and retention, investment account integrity and reconciliation, client account liquidity and cash flow requirements, client report generation, along with monitoring, tracking and compiling various reports versus benchmark standards. The position will also be responsible for ongoing communications with institutional custodians and other outside vendors regarding any operations and administrative issues.

Another major duty is the coordination and monitoring certain segments of the firm's compliance program, ensuring that firm activities relating to operations and administration meet the requirements of state and federal regulatory agencies. Responsibility includes the accurate utilization of firm policies and procedures in all operations and administrative activities, along with proactively contributing to improvements in department processes/protocols.

In addition, the position will maintain a functional level of expertise for firm technology applications including the management of outside vendors for the systems, hardware and software assuring timely updates and maintenance.

Qualifications & Qualities

The Operations Manager position typically requires the following qualifications:

Minimum 5+ year experience in investment management and/or financial advisory services.

Bachelors Degree in business, accounting, finance, economics or equivalent experience.

Series 65 License “ Uniform Investment Advisor Law Examination.

In-depth understanding with client reporting, research, client relationship software, Schwab Institutional and other client reporting applications along with an in-depth understanding of technology and databases.

Detail-oriented, accurate, organized, able to set and manage priorities.

Proven experience in transaction processing for trading, wires, journals.

Strong written and oral communication skills.

Self-starter taking initiative.

Desire/ability to work successfully in a small company and team-oriented environment.

Expertise with Excel, Word, Outlook and PowerPoint.

Goal oriented, task driven, detail focused, and enjoys challenges.

Continuously exhibits personal integrity and professional initiative sustaining the overall objectives and philosophy of the firm.

Must be able to maintain the corporations top-tier client service standards.

Duties & Responsibilities

The Operations Manager can expect to focus in the following:

Responsible for a wide range of client focused functions that include: the daily activities for corporate operations and portfolio administration; account reconciliation, transaction processing of wires and journals, and regular corporate reporting.

Maintain a comprehensive understanding of each clients objectives, investment policy, portfolio parameters, cash flow & liquidity needs.

Responsible for the timely creation and distribution of accurate client quarterly performance reports, client quarterly invoices, preparation of the 13F and various compliance tracking reports.

Maintain professional understanding of, and identify operational solutions for, compliance issues of potential impact, interest, and opportunities to the firm.

Assure operations compliance processes, documentation, support material, etc. continues to meet the needs of the firm and regulatory requirements.

Technology support as well as monitoring the cybersecurity of the computer system.

Manage the ongoing maintenance of the computer systems, software updates and recommendations of enhancements to keep the firm up to date where best suited with the technology of the industry. Manage the use of outside technical support to assure optimum functionality and efficiency.

Work closely with advisors in maintaining client accounts, delivering and enhancing top-tier client service and support other team members in day to day office management. Similarly representing the firm in various business and community service functions is expected.

Continuously exhibits personal integrity and professional initiative sustaining the overall goals, objectives, policies and philosophy of the firm.

Professional proactive client communications as needed.

Confidentiality of both corporate and client information.

Salary and Benefits

Pay/benefits are competitive based on industry standards.

Industry-competitive salary based on experience and capabilities.

Profit sharing/401(k) plan with varying company matching contributions after one-year eligibility requirement.

Medical/dental/vision health insurance coverage available (for 2019 plan year, individual employee medical premiums paid 100% by employer, dental/vision premiums paid 50% by employer, subject to change)

Competitive paid time off/vacation/holidays.

Partial and/or full financial reimbursement for professional accreditation/continuing education requirements and other professional/leadership development opportunities.

Roof Advisory Group, Inc. is an Equal Opportunity Employer

www.roofadvisory.com

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