Investment Operations Manager

Responsibilities

• Ensures fullpliance with Financial Industry Regulatory Agency (FINRA), Securities and Exchangemission (SEC), and internal policies; maintains records and audit procedures in line with Series 24 supervisory responsibilities
• Serves as the business owner of the relationship with 3rd party clearing partner Cetera
• Provides strategic oversight for risk management to ensure that systems and processes are in place for investmentpliance needs
• Leads recruitment, onboarding, and training initiatives to build a high-performing brokerage team
• Provides guidance and development opportunities to team members to ensure efficiency and best practices
• Develops strategic initiatives to grow client assets under management and improve client retention
• Collaborates with senior leadership to align brokerage strategies with overall business objectives
• Serves as an escalation point forplex client inquiries orpliance concerns
• Stays up to date with market trends, regulatory changes, and industry best practices

This position is exempt from timekeeping requirements under the Fair Labor Standards Act and is not eligible for overtime pay.

This position is incentive eligible.

This is a single incumbent position.

Requirements

Skills andpetencies

Position Type

Full time

Pay ranges are job specific and are provided as a point-of-market reference forpensation decisions. Other factors which directly impact pay for individual associates include : experience, skills, knowledge, contribution, job location and, most importantly, performance in the job role. As these factors vary by individuals, pay will also vary among individual associates within the same job.

The target information listed below is based on the Metropolitan Statistical Area Market Range for where the position is located and level of the position.

Job Range Target : Minimum :

167, USD

Median : 242, USD

Incentive Pay Plans :

This role is eligible to participate in the annual discretionary incentive plan. Employees are eligible to receive a discretionary award based on individual, business, and / orpany performance.Opportunity to participate in the Long Term Incentive Plan.

Benefits Information

Regions offers a benefits package that is flexible,prehensive and recognizes that "one size does not fit all" for benefits-eligible associates. Listed below is a synopsis of the benefits offered by Regions for informational purposes, which is not intended to be aplete summary of plan terms and conditions.

Please note, benefits and plans may be changed, amended, or terminated with respect to all or any class of associate at any time. To learn more about Regions' benefits, please click or copy the link below to your browser.

regions / weetour /

Location Details

Riverchaseplex North Building

Location : Hoover, Alabama

Equal Opportunity Employer / including Disabled / Veterans

Job applications at Regions are accepted electronically through our career site for a minimum of five business days from the date of posting. Job postings for higher-volume positions may remain active for longer than the minimum period due to business need and may be closed at any time thereafter at the discretion of thepany. Job ID R95208