Complex Administrative Manager

Complex Administrative Manager

>


Title Complex Administrative Manager
Job Reference # 79149BR
Location United States - Nebraska
City Omaha
Function Category Other
Business Divisions Wealth Management Americas
Job Type Full Time
Description The Complex Administrative Manager is responsible to lead all operational, administrative and supervisory functions and staff within the assigned complex. You will perform approvals and authorizations for the complex and may delegate functions subject to registration to other Branch staff. Together with your Complex Director, you are responsible for overall audit results and expense management of the complex. As the administrative leader you manage the Branch staff and CSAs and provide for their ongoing training and development needs. You oversee HR processes, service standards, facilities, CSA levels and assignments, FA on-boarding, technical support and disaster recovery. Possesses a comprehensive understanding of firm policies and procedures, brokerage operations principles, and regulatory rules

Key Responsibilities:
Administrative / Management Support
.Lead the Operations, Administrative and Control Mgmt team in the complex/branch and depending on structure and size may also manage and develop CSAs in branch/complex
.Recruit, onboard and develop Operations, Administrative and Control Management Team and other direct reports where applicable (e.g., BOAs, CSAs) in the complex/branch.
.Conduct performance reviews and make personnel decisions such as compensation, promotions, discipline and termination of Operations, Administrative and Control Management Team in the branch in accordance with firm policy.
.Ensure all complex employees complete required training
.Manage branch administration, including branch facilities and oversee overall cost management to enhance profitability.
.Ensure that all complex/branch employees are educated and receive coaching on administrative policies, procedures and risk management.
.Implement service excellence standards, including coaching and educating Management and support staff on the Client Experience best practices and suitability
.Support and drive strategic firm initiatives
.Partner with Home Office to address any management or staffing issues

Operations Approvals
.Ensure that the Operations Team meets service excellence standards in the branch/complex
.Oversee and approve as needed, new client accounts, errors, client correspondence and communications with the public
.Manage the transition of recruits' accounts

Control / Supervision / Risk
.Manage client issues and complaints following firm policy and regulatory requirement
.Communicate, implement and ensure compliance with firm administrative and risk management guidelines and policies
.Ensure compliance with legal and regulatory requirements, including Sarbanes-Oxley
.Oversee branch security (e.g. information security, client privacy)
.Oversee employee related activity (e.g. outside accounts, political contributions)
.Monitor client accounts, transactions and FA conduct
Requirements *A minimum of 5 years recent work experience as a Complex Administrative Manager with relevant management experience as a Administrative Manager or other substantive leadership role within a Wealth Management Branch Office of a leading financial services firm required.
*Series 7, 66, 9 & 10 a must.
*Life and Health Insurance licenses required, if supervising this business
*Bachelor's Degree is helpful but not mandatory
*Candidates must be proficient with Microsoft Suite Applications, including Outlook, Word & Excel
*Proven management and decision making skills a must
*Strong prior experience in managing and development of staff to create a positive branch business culture
*Must be highly motivated with a commitment to succeed
*Ability to leverage resources and delegate effectively
Our Offering We can offer a stimulating working environment, a culture of mutual respect and commitment to maintaining the highest ethical standards. This position carries an attractive performance-related compensation and the support of our global experts at all times.
Take the next step We can offer you an exciting, fast-paced working environment, a culture of mutual respect and teamwork and the opportunity to play a vital role in our growth. If you are attracted to joining an organization where every individual's contribution counts and where your talent will impact on our future, please apply for this position. It starts with you.
Disclaimer / Policy Statements UBS is an equal opportunity employer. We respect and seek to empower each individual and the diverse cultures, perspectives, skills and experiences within our workforce.

Wealth management services in the United States are provided by UBS Financial Services Inc., a registered broker/dealer offering securities, trading, brokerage, and related products and services in the U.S. UBS Financial Services Inc. is a subsidiary of UBS AG.