Securities Operations Manager

About the role

The Operations Manager reports to both the 401(k) Service Advisor & the SVP, Retirement Practice Leader and provides operational management & support to the firm's 401(k) & individual wealth management clients. This position consults directly with clients to address their financial needs & deliver customized solutions & support. This position requires a strong understanding of the securities industry, regulatory bodies and guidelines, meticulous attention to detail and professionalism and is critical to ensuring the achievement of the department's goals.

Responsibilities

• schedule all client meetings with 401k & wealth management clients
• execute all wealth management trades, check requests, gather financial planning info & data entry
• coordinate all new account paperwork for 401k & wealth management clients
• coordinate all 401k fund change paperwork and employee notices between vendors & clients
• assembling requisite paperwork, account reviews, report generation and meeting documentation
• assist with individual employee participant proposals as needed
• coordinate employee education sessions with 401k participants (either with Recordkeeper or internally presented by HUB)
• maintain all client emails & communications
• maintain all client data internally
• responsible for all client downloads for new RPW software from record-keepers monthly
• oversee new and existing 401k client transitions to new recordkeepers
• manage client data and plans in financial planning software, eMoney
• identify sales and asset retention opportunities; including viable alternatives when traditional solutions may not apply
• additional duties as may be requested
• manage all data entry into Morningstar & assist the Practice leader in assessment of prospect client's existing portfolios
• Knowledge, Skills, and/or Abilities
• Strong understanding of financial services industry and diverse investment products
• Basic computer skills (Outlook, Word, Excel and Power Point) are essential
• Excellent communication skills, both verbally and in writing
• Strong time management and organizational skills; able to work independently and effectively manage multiple tasks at once
• Ability to build relationships with clients and internal partners and influence others without direct control
• Education and/or Experience
• Bachelor's degree in finance, accounting or related field
• The ideal candidate will have 3+ years of experience in the financial services industry allowing for a strong understanding of broker/dealer operations and financial services products, including but not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts
• Previous experience in the independent financial services culture preferred
• Certificates, Licenses, Registration
• Applicable FINRA licenses preferred ( Series 7, 6, 65, 66 or 63)
• Department Account Management & Service
• Required Experience: 2-5 years of relevant experience
• Required Travel: Up to 25%
• Required Education: Bachelor's degree (4-year degree)
• E-Verify Program
• We endeavor to make this website accessible to any and all users. If

Benefits

Additional Information

ABOUT HUB INTERNATIONAL: HUB International Limited ("HUB") is one of the largest global insurance and employee benefits broker, providing a broad array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services. With over 21,000 employees in 600+ offices throughout North America, HUB has grown substantially, in part due to our industry leading success in Mergers and Acquisitions. WHAT WE OFFER YOU: At HUB we believe in investing in the future of our employees. Our entrepreneurial culture fosters an environment of open feedback and improvement that empowers our people to make the best decisions for our customers and organization. We offer: Competitive salaries and benefits offerings Medical/dental/vision insurance and voluntary insurance options Health Savings Account funding 401k matching program Company paid Life and Short-Term Disability Plans Supplemental Life and Long-Term Disability Options Comprehensive Wellness Program Generous PTO Package - Vacation, Holiday, Sick, and Personal Time Off Great work/life balance because that's important for all of us! Focus on creating a meaningful environment through employee engagement events The ability to be a part of a motivated, winning team with the opportunity to learn from colleagues who are amongst the top talent in the industry! Growth potential - HUB is constantly growing and so can your career! A rewarding career that helps local businesses in the community Strong community support and involvement through HUB Gives

Your Match

How well this role fits your profile.

Company Intel

What employees say

Worked at Hub International? Share your experience