Ally Manager, Operations in Charlotte, North Carolina
This Manager of Brokerage Operations will manage, supervise and perform various functions to help process and support our firms' staff and clients. The position will be engaged in a variety of daily tasks including cashiering and funds movement, new accounts, ACAT's, CIP and other various back office brokerage functions. Responsible to ensure accurate record keeping by following established procedures. The scope of expertise will run the full spectrum of overseeing brokerage accounts and mentoring/training employees. This role will be responsible for approving specific new accounts and account maintenance documents for completeness, accuracy for the activity being documented. This role will work closely with Compliance to assist that department on special projects as well as providing input for quality improvements and is required to have excellent organization skills and ability to work in a fast paced, multi-tasked high pressure, securities market environment. Direct interaction with clients, other brokers and internal support staff will be a part of the candidate's everyday routine.
Support the Director of Operations and Client Services with strategic direction of various operational projects
Manage, supervise and perform a variety of operations functions following pre-established supervisory procedures
Provide assistance to clients and trading and client service representatives based on escalated issues
Provides quality service and effective and efficient operations support the assigned area's internal business partners and/or external customers and clients
Work closely with departments to expedite requests and log instances of operational issues to resolution
Field and respond to clients inquiries and issues via phone calls, emails, and faxes and with the highest level of customer service and integrity
Prioritize multiple functions based on client and firms needs
Ensure accurate record keeping in order to keep the firm compliant
Remain current on internal work processes, procedures, and product knowledge
Provide mentoring or guidance for team members through coaching and guidance
Monitor and supervise representatives in real time and assist with problem resolution
Identify areas to improve operational efficiencies and product enhancements
Understand, comply, maintain and reinforce regulatory and firms policies and procedure/guidelines
Ability to work with brokerage desktop applications
Other duties as assigned or required
Must be able to work overtime if required on short notice
Proven expertise and in Microsoft Desktop Operations systems (Windows 7, WindowsXP, Apple Mac OS X).
Expert in desktop trading tools
The job requires focused visual concentration in deciphering data and other information from computer.
FINRA Series 7, 63, 4, 24 licenses preferred
Ability to communicate effectively over the telephone/email and establish credibility and trust with a variety of clients
5+ years of prior investment or back office operations related experience
Strong understanding and exposure to financial service/trading industry
Strong understanding of trading platforms
Experience with Microsoft Office Suite (Word, Excel, Outlook, Power Point) and Internet
Solid relationship building and ability to deal with internal/external resources
Able to work independently and with a team to handle all issues while working under strict time constraints
Able to work in high-pressure environment with strict SLA's and deadlines
Detail and results oriented and able to prioritize tasks in a multi-task environment
Experience in leveraging organizational skills to support client needs, focusing on execution, accuracy and efficiency
Strong communicator who can effectively process constructive feedback while always keeping the corporate and end user goals in mind
Excellent oral and written communication with strong emphasis on grammar and strong desire to provide an exceptional customer experience
Able to exercise independent thought and judgment and adapt to new tasks with little notice
Must be confident and highly credible via e-chats, email, over the phone and in person
Minimum 5+ years in client related support in the financial services or brokerage retail environment or related industry
Strong interpersonal skills are required
Knowledge or experience working in financial services and/or other regulated environment is a plus
Bachelor's Degree or equivalent business experience
Ally Financial Inc. (NYSE: ALLY) is a leading digital financial services company and a top 25 U.S. financial holding company offering financial products for consumers, businesses, automotive dealers and corporate clients. Ally's legacy dates back to 1919, and the company was redesigned in 2009 with a distinctive brand, innovative approach and relentless focus on its customers. Ally has an award-winning online bank (member FDIC), one of the largest full service auto finance operations in the country, a complementary auto-focused insurance business, a growing digital wealth management and online brokerage platform, and a trusted corporate finance business offering capital for equity sponsors and middle-market companies.
Business Unit/Enterprise Function
Ally Invest, launched in May 2017, is the brokerage and wealth management offering from Ally. The offerings consist of a trading platform for self-directed investors, as well as a suite of automatically managed investment portfolios. The Ally Invest team is responsible for ensuring the technology and service of the platform with a focus on award winning customer service and outstanding user experience.
Total Rewards Information
Ally's compensation program offers market-competitive base pay and bonus pay potential based on achieving personal and company goals. Plus, we have a flexible paid time-off program with an emphasis on work-life balance.
Ally offers a variety of benefits to protect your health and well-being, provide financial security and balance your work-life needs including:
Industry-leading 401K Retirement Savings Plan including Matching and Company Contributions
Comprehensive wellness program with financial incentives designed to help you achieve your best health
Flexible health insurance options including dental and vision
Pre-tax Health Savings Account with generous employer contributions
Pre-tax dependent care and commuter benefits
Other work-life integration benefits including Paid Parental & Caregiver Leave, Adoption Assistance, Back-up Child & Adult/Elder Care, Child Care Discounts, Tuition Reimbursement, LifeMatters Employee Assistance Program, Weight Watchers and other employee discount programs
Ally is an Equal Opportunity Employer
We extend equal employment opportunities to qualified applicants and employees on an equal basis regardless of an individual's age, race, color, sex, religion, national origin, disability, sexual orientation, gender identity or expression, pregnancy status, marital status, military or veteran status, genetic disposition or any other reason protected by law.
Job Title: Manager, Operations
Company: Ally Financial Inc.
Category: Portfolio Management
BU Function: TradeKing
Requisition ID: 17-5986