Securities Operations Associate Jobs in Minneapolis, MN

Job Description

Job Summary

McNellis & Asato, Ltd. is seeking an Operations Manager to manage the overall operational efficiency of the branch office. The ideal candidate has industry experience and is proficient in front- and back-office operations. Additionally, the Operations Manager will direct day-to-day operational functions of the office, run project management, ensure compliance with firm and regulatory policies and procedures, and have a strong affinity for organization and process in a professional, discreet, and team-oriented environment.

At McNellis & Asato, associates are guided by the "7 C's": Curiosity, Communication, Collaboration, Compassion, Competency, Commitment, and Courtesy.

If this resonates with you, then look no further. Apply today.

Essential Duties and Responsibilities

• Performs all operational functions as required by workloads and absences.

• Assists Branch Owner with confidential matters such as compliance visits.

• Assists Branch Owner with controlling expenses and operating at peak efficiencies.

• Researches and resolves complex problems relating to client accounts and inquiries.

• Assists Branch Owner in running regular branch meetings.

• Recruits, selects, orients, trains, and supervises branch operations associates.

• Conducts ongoing performance management, scheduled performance appraisals and salary reviews of operations associates, and maintains branch associate files.

• Reviews daily work of operations associates.

• Evaluates workload and responsibilities of support staff to determine necessary assignment changes to maintain efficient workflow.

• Ensures daily staffing levels, office schedules, and cross-training is adequate.

• Coordinates registrations, continuing education, licensing, etc. of branch personnel.
• Manages branch marketing and client events

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of

• Company policies and procedures and industry rules and regulations

• Investment concepts, practices and procedures used in the securities industry

• Financial markets and products

• Human resource management principles and practices
• Microsoft Office

Skill in

• Project management
• Organization
• Leadership
• Time management
• Compliance

Ability to

• Operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

• Handle conversations with discretion and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a service attitude.

• Display professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.

• Employ good analytical skills to be able to research account information and resolve problems.

• Establish and communicate clear directions and priorities.

• Utilize good interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel.

• Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.

• Effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

• Work independently, under minimal supervision.

Licenses/ Certifications: SIE, Series 7, 66, 9/10 OR ability to obtain within stated period

Education: Bachelor's degree preferred

Experience: 5+ years of industry experience and leadership experience

Workstyle: Onsite

Travel: None required

Benefits: Medical, Dental, Vision Retirement, PTO + Market Holidays, Tuition Assistance, Discretionary Bonus

Compensation: $70,000 - $100,000, determined by experience and registrations

McNellis & Asato, Ltd. and its employees are independent contractors with respect to Raymond James, not employees of Raymond James. The term "Raymond James" includes but is not limited to Raymond James Financial Services, Inc. ("RJFS") and Raymond James Financial Services Advisors. Inc. ("RJFSA") as affiliates.

PLEASE NOTE: The benefits link and benefits description below do not apply to this job posting because the hiring entity is an RJFS independent branch and all RJFS associates at this branch are independent contractors with respect to Raymond James. If you are offered a position by this RJFS branch, employment and benefits will solely be offered by the branch and not by Raymond James.

Education

Work Experience

Certifications

Salary Range

Travel

Workstyle

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave. Eligibility for benefits and specific offerings may vary based on position and employment status. To view more details of the benefits offered, visit Myrjbenefits.com

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.
We expect our associates at all levels to:
Grow professionally and inspire others to do the same
Work with and through others to achieve desired outcomes
Make prompt, pragmatic choices and act with the client in mind
Take ownership and hold themselves and others accountable for delivering results that matter
Contribute to the continuous evolution of the firm

At Raymond James - as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.