Manager, Special Correspondence Group

Role Summary

Responsible for the supervision for a team of Business Line Risk Management associates whose primary role is to review and file written FINRA, MSRB and Advisory complaints in addition to helping to resolve complex client issues received by company executives.

Responsibilities:

• Manages daily associate performance to ensure accurate and timely handling of complaints and complex client issues. Develops and improves the productivity and quality skills of a team of associates.
• Works with associates in other functions to resolve outstanding client issues, build positive client relationships, and ensure the overall success of the business
• Supervises and provides guidance on internal activities and initiatives designed to improve the client experience.
• May participate in the execution of the Special Correspondence business strategy. Ensures business plans are communicated to team to align individual and team goals with those of the organization.
• Responsible for the effective leadership and development of team members. Recruits, directs, motivates, and develops staff, maximizing their individual contribution, their professional growth, and their ability to function effectively with their colleagues as a team
• Leveraging strong knowledge of business line, evaluates existing processes, identifies control gaps, and recommends treatments for any gaps found within a business line. Develops reports and delivers these to management
• Monitors compliance across the business line. Reports risks caused by business activities to senior staff. Evaluates potential courses of action to address complex issues identified and recommends solutions.
• Works with internal auditors when assigned business line is audited and reports on treatment of control gaps that are being put in place.
• Contributes to efforts to develop a strong organizational risk culture and applies risk management techniques to assigned business line.

Qualifications:

Required:

• Bachelor's degree or the equivalent combination of education and relevant experience AND
• 5+ years of total relevant work experience
• FINRA Series 7, 63 and 24

Preferred skills:

• FINRA Series 53
• Financial Services and Leadership Experience
• Previous experience handling executive escalations
• Written and oral communication skills

FINRA Requirements 

This role requires the FINRA Series 7, 63, and 24 licenses. Series 53 is preferred, but not required.

Work Flexibility 

This role is eligible for remote work up to two days a week.