Branch Office Operations Manager - Newport Beach, California United States - 37026



JOB DESCRIPTION

Job #: 37026
Title: Branch Office Operations Manager
Job Location: Newport Beach, California - United States
Employment Type:
Salary: contact recruiter for details
Employer Will Recruit From: Regional
Relocation Paid?: NO

WHY IS THIS A GREAT OPPORTUNITY?


* Employee-owned firm

* Upward mobility

*countless awards--'Best Place to Work'-- in states where branches located.

*competitive Comp and benefits

JOB DESCRIPTION

Top-tier boutique-styled Broker/Dealer looking for Compliance/Ops Supervisor.  Unique culture, independent firm established 80+ years ago.

Ensure the branch runs smoothly and complies with company policies and procedures and security industry rules and regulations.

Reporting supervisor: Branch Manager

Supervise 6 FAs, and 5 support staff

QUALIFICATIONS

* Series 7, 65 or 66, 24, 9 and/or 10.
* Minimum 5 years experience with prior supervisory experience.
* Thorough knowledge of Company policies and procedures.
* Seasoned experience in the securities industry, knowledge of industry rules and regulations

Education:
University - Bachelor's Degree/3-4 Year Degree

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