Senior Branch Operations Administrator, Nesbitt Burns
Core
Provides operational support and management of sales compliance and regulatory requirements for a branch or region, ensuring alignment with business objectives and safeguarding customer assets.
Role type
Senior Branch Operations Administrator
Builds
Branch operational efficiency and regulatory compliance frameworks
Domain
Financial Services / Wealth Management / Regulatory Compliance
Deliverable
Dashboards & analysis
Required skills
Compliance management, Operational support, Financial processing, Regulatory reporting, Stakeholder relationship building, Risk assessment, Performance tracking, Strategic initiative execution, Documentation management, Problem solving
Preferred skills
Creative solutioning, Independent work, Measured risk-taking
Technologies
N/A
Responsibilities
Develop client rapport to build credibility within the branch team; Act as a designee for the branch manager on compliance objectives; Provide ongoing compliance education to the branch/portfolio; Coordinate and execute strategic initiatives including tracking metrics; Identify, report, and manage compliance issues and irregularities; Support branch management with operational and regulatory compliance responsibilities including reviews of IA and branch reports; Maintain branch files on outstanding client complaints, hold mail accounts, insider clients, and non-approved trades; Design and produce regular and ad-hoc reports and dashboards; Lead or participate in defining communication plans to influence behavior.
Seniority
Mid-Senior, hands-on IC