Operations Manager
Employment Type : Full-Time
Wintrust Wealth Management serves the financial needs of private clients, including high net worth individuals, business owners, and institutions. Since our founding in 1931, we have been helping clients meet their increasingly complex financial goals with the highest standards of service and integrity. Through our three divisions, we offer comprehensive wealth management solutions, including investment, trust, and asset management services. Wintrust Wealth Management is a division of Wintrust, a financial services company with more than $45 billion in assets.
The Operations departments cover four operational disciplines consisting of the following: Margin/Credit, Individual Retirement Accounts (IRAs), New Accounts, and Account Transfers. The Operations Manager will manage a group of five full time team members. Each team member develops expertise in a particular operational discipline, but is cross-trained for multiple job functions. FINRA Licenses 7, 63 or 66, and 24 are required.
The Operations Manager will be responsible for the following items:
- Team Management
- Recruits, trains, assigns, schedules, coaches, and counsels employees
- Performs employee reviews on a semiannual basis
- Organizational leadership that drives accountability, individual and team performance, a positive culture, and overall ownership of the processes
- Operations Management
- Oversees operational systems and processes while looking for opportunities of improvement or revision.
- Works with Operations team to ensure timely processing of client requests
- Processes requests to ensure adequate coverage
- Foster a risk prevention culture by staying abreast of newly implemented regulatory requirements and manage changes to business rules, technology enhancements, or processes
- Develops, implements, and reviews operational policies and procedures.
- Audit Management & Other Tasks:
- Liaison per firm wide audit request(s) with internal and external auditors
- Works closely with COO on other special planning and departmental projects.
- Stays current with respect to industry regulations, trends, and technology.
Required Qualifications
- 7-10 years of relevant industry experience, 2+ years of managing people, with the ability to lead, build, and mentor a team
- Strong attention to detail
- Understanding of FINRA securities rules
- Intermediate Microsoft Office skills
- Ability to navigate multiple computer systems, applications, and utilize search tools to find information
- Excellent verbal, written, and interpersonal communication skills
- Effective organizational, multi-tasking, and prioritizing skills
- Ability to work independently, proactively, innovatively, and creatively while exercising sound judgement
- Ability to articulate issues, risks, and proposed solutions to various levels of staff and management
- Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
- Experience resolving and working through escalated and complex issues
EOE.
Wintrust Financial Corporation, including community banking and financial services subsidiaries, is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, citizenship status, sex, sexual orientation, gender identity and expressions, genetic information, marital status, age, disability, or status as a covered veteran or any other characteristic protected by law.