Provide leadership for a clearing broker dealer settlement team accountable for providing complex operations activities to client and advisors. Settlement activities include DTC settlement, processing dividend and reorganization activities, and handling physical certificates. This includes resolving escalated advisor issues, lead process improvement initiatives, identifying and analyzing trends to implement solutions to increase advisor and client satisfaction, and managing strategic relationships across multiple channels for delivery of operations services.
???Lead a team of professionals providing complex operations activities to advisors, including regulatory supervision to ensure that compliance and regulatory requirements are met. Ensure timely and accurate resolution of escalated advisor issues. Develop and manage cost effective, efficient and compliant operational strategies to ensure advisor and client's needs are met. Manage department P&L, focusing on managing controllable expenses, including vendors. ???Manage relationships with a variety of internal and external business partners and advisors to identify root cause of operational and service issues. Implement solutions to increase advisor and client satisfaction, while ensuring all operational, financial, and regulatory requirements are met. ???Provide thought leadership on process improvements and business transformation activities. Ensure effective implementation of strategies. ???Provide effective people leadership through effective coaching, feedback and sound performance management practices. Act as champion for the team and intervene on matters that create roadblocks to individual or organizational success. Set department initiatives and aligns and sets individual performance goals.
???Education: Associate degree or equivalent (2-years). ???Experience: 7-10+ years of relevant experience. ???Active FINRA Series 24 or the ability to obtain within 180 days ???Strong relationship management/influencing skills. ???Ability to analyze root cause and implement solutions. ???Demonstrated ability to lead cross-functional process improvement teams. ???Previous people leadership experience.
???Education: Bachelors degree or equivalent (4-years). ???Strong working knowledge of Operations techniques (DTC or settlement experience is a plus)
About Our Company
At Ameriprise Financial, we're not just in the business of helping clients with their financial goals - we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you're motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.
Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.