Supervisor, Operations | Advisor Transitions: Account Opening Team

This position follows our hybrid-friendly schedule, so you get the best of both worlds – flexibility and collaboration. In office days will be 3 per week in our St. Petersburg, FL Corporate Office. The Supervisor of New Advisor Transitions plays a pivotal leadership role in ensuring the seamless onboarding and integration of financial advisors into the firm. This position is responsible for managing all transition activities with precision, efficiency, and a commitment to exceptional service. A key component of the role includes direct oversight of the Account Openings Team, ensuring operational excellence and alignment with the firm’s growth objectives and advisor satisfaction goals. The ideal candidate will possess strong technical aptitude and a continuous learning mindset, with the ability to quickly adapt to new technologies and systems.

Responsibilities

Managing all transition activities with precision, efficiency, and a commitment to exceptional service; Direct oversight of the Account Openings Team, ensuring operational excellence and alignment with the firm’s growth objectives and advisor satisfaction goals; Supervise others working within established operational systems; Supervise a team that operates within several different workflows for the purpose of systemically and manually opening accounts, including data collection and forms generation; Develop short- or medium-term work schedules in order to achieve planned commitments; Approve overtime or use additional resources as needed; Work within established procedures to achieve specified goals; Communicate the local action plan and explain how this relates to the function's strategy and action plan and to the broader organization's mission and vision; Motivate people to achieve local business goals; Advise managers how to apply a wide variety of existing procedures and precedents; Help others get the most out of internal communications systems by offering support and advice; Keep track of risk parameters, identifying any deviations and reporting them to more senior colleagues; Track budget-to-actual and report variances to more senior colleagues; Ensure development of skills of the managed resources to a high performing level; Identify instances of noncompliance with the organization's policies and procedures and/or relevant regulatory codes and codes of conduct, reporting these instances and escalating issues as appropriate; Contribute to the development of annual and longer-term business plans; Forecast performance against business key performance indicators (KPIs); Develop business cases for key activities/projects; Estimate the financial and human resources required to deliver performance targets; Develop and propose own performance objectives; Manage and report on team performance; Set appropriate performance objectives for direct reports or project/account team members and hold people accountable for achieving them

Requirements

Strong technical aptitude and continuous learning mindset; ability to quickly adapt to new technologies and systems; SIE required or ability to obtain within 120 days as required by FINRA; Series 99 required or ability to obtain within 120 days as required by FINRA; High School (Required); General Experience - 3 to 6 years; Manager Experience - 13 months to 3 years; Travel less than 25%; Certifications: s99 - Operations Professional Examination - FINRA; Securities Industry Essentials Exam (SIE) - FINRA

Nice to have

Experience utilizing Smartsheet for project coordination, reporting, workflow automation, and process management

Benefits

Medical; dental; vision; life insurance; critical illness insurance; accident insurance; disability benefits; retirement savings; paid time off (vacation, holidays, and sick leave); parental leave