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Operations Manager-Chase Wealth Management-Columbus, OH

Job Description

The Chase Wealth Management (CWM) Operations Administration Department puts into action the policies and plans laid out by CWM senior management by working with business partners such as Compliance, Legal, Risk, Supervision, and Product to facilitate projects and processes impacting the front, middle and back offices.  .
Job Responsibilities:
As a Business Analysis Manager, you will be responsible for managing the day to day activities of the Business Process Analysts within Operations Administration.  The Business Process Analysts are responsible for managing multiple processes that impact Chase Wealth Management advisors, sales managers, and middle office. Department tasks include, but are not limited to
  • Enroll/monitor individuals in licensing programs, and maintain relationship with third party vendor supplying study material
  • Coordinate employee feedback program
  • Collection and retention of Supervisory Delegation Memos
  • Reassignment of Brokerage Managed Accounts in “House” or “Leave of Absence” status, or assigned to an invalid rep code
  • Tracking and retention of Outside Business Activity approvals
  • Coordinate the CCB Service Letter Program for CWM
  • Branch Supervisory Log completion tracking and reporting
  • Assist with CPC advisor onboarding
  • Statement review and quality control
  • Cross Line of Business Transfers
  • Exiting Client Relationships
As a Business Analysis Manager you will need to use independent judgment, dig deep into details of processes to find efficiencies and to identify areas of risk to the firm, and demonstrate ability to build and maintain relationships with all levels of personnel including senior management. You will also be responsible for job coaching, ensuring department procedures are current, implementing proper controls and Risk and Control Self Assessment (RSCAs), and ensuring department processes remain in compliance with firm policies.
  • 10+ years investment industry knowledge and management experience required
  • Must either hold or obtain FINRA Series 99 license or equivalent within 90 days of hire.
  • Strong time management and organizational skills with a focus on solutions and innovation
  • Strong project management skills, ability to work independently and attention to detail required
  • Experience implementing operational controls in an Risk and Control Self Assessment (RCSA) testing environment
  • Ability to effectively build relationships and partner with the sales field
  • Excellent verbal and written skills with a proven ability to work with all levels of personnel including senior management
  • Ability to organize information in a concise and user friendly way
  • Advanced analytical and quantitative skills
  • Strong problem solving skills
  • Must have ability to use independent judgment and willingness to dig deep into details of projects
  • Experience with Microsoft products (Excel, PowerPoint, etc.)
  • Bachelor’s degree in Business, Finance, Accounting or related area
Req #: 150109787
Location: Columbus, OH US
Job Category: Operations
Employment Type: Full Time
Potential Referral Amount: 0 US Dollar (USD)

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