Janney Montgomery Scott LLC · 9 hours ago
Complex Operations Manager - Warwick, RI
Warwick, RI
Full-time
Onsite
Mid, Senior LevelJanney Montgomery Scott LLC is an award-winning full-service financial services firm committed to understanding clients' needs. The Complex Operations Manager will oversee all operational, administrative, and client support functions within a group of branch offices, ensuring superior service and compliance with policies.
BankingConsultingCrowdfundingFinancial ServicesLegal
Responsibilities
Overall supervisory responsibility for all branch operations functions in the Complex including but not limited to: cashiering, disbursement of checks and securities, processing incoming and outgoing correspondence, account transfers, margin, distribution of wire traffic, home office reports, maintenance of order tickets, client correspondence, and other documents consistent with firm retention requirements
Supervising and training all Complex support staff (Private Client Associates and Operations Assistants) to ensure that Financial Advisors (FAs) and clients receive superior service consistent with Janney policy and SRO rules. Specific supervisory tasks include but are not limited to:
Sourcing, interviewing, selecting, hiring, registering and training of new support staff members including Private Client Associates and Operations Assistants
Conducting regular staff meetings as a forum for training on new policies and procedures and to facilitate open dialogue among Private Client Associates and/or other members of the support staff
Providing feedback to support staff members on their performance both on a routine basis and through annual performance reviews; addressing performance issues in conjunction with Complex Manager and Human Resources
Provide work direction to Private Client Associates and/or other members of the support staff and coordinate workflow within the office
Assist others by acting as a resource in the areas of training, coaching, and mentoring
Actively seek out and maintain an advanced knowledge base on all products and services, technology, forms and systems
Perform other duties as required that contribute to the overall effectiveness of the position and the complex as a whole
May be involved with on-boarding new FAs to the branch
Coordinate Complex recruiting activities with the Regional Assistant and Home Office as required
Qualification
Required
High School diploma
Professional Licenses: Series 7, 9 and 10, 63 and 65 (or 66)
Excellent customer service skills
Computer skills in Word, Excel, PowerPoint and Outlook
Able to work-effectively in a fast paced, deadline oriented environment
Strong attention to detail
Able to work effectively as part of a team
High ethical standards
Ability to travel up to 15% of the time between branches
Preferred
Bachelor's Degree
Benefits
Paid Parental Leave
Generous Paid Time Off
Eligibility for a $2,000 referral bonus
Professional Development Assistance Plan
Company
Janney Montgomery Scott LLC
Janney Montgomery Scott LLC is a leading wealth management firm dedicated to putting client needs first.
Founded in 1832
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
unknown2024-07-23Acquired
Leadership Team
Peyton Wylie
Co-Founder of D.A.C. Investment Partners
John Ciccarone
Chief Technology Officer
Recent News
2026-01-23
2026-01-16
2025-11-14
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