Advisory & Managed New Accounts Operations Supervisor I Memphis, TN
Hybrid · Memphis, Tennessee, United States
Job Summary
Advisory and Managed New Accounts Operations Supervisor I role in Memphis, TN leading teams supporting Advisory and Managed New Account processing within a regulated financial services environment. Responsibilities include supervising teams, ensuring accurate and timely processing of investment account documentation and onboarding, leveraging knowledge of investment products, advisory platforms, and managed account workflows, contributing to business planning and KPI forecasting, coaching team members, ensuring compliance with FINRA/SEC and internal policies, and collaborating with advisors and risk/compliance stakeholders to drive operational excellence and high-quality client experiences. Requires HS, supervisory/leadership experience in brokerage/advisory/wealth management operations, and FINRA licensing prerequisites (SIE and Series 99 eligibility) with ability to obtain within 120 days; hybrid work arrangement with three in-office days per week at Memphis corporate office.
Required Qualifications
- SIE required or ability to obtain within 120 days (as required by FINRA)
- Series 99 required, or ability to obtain within 120 days (as required by FINRA)
- Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations: Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination
- Education: High School (HS) required
- Experience: Prior supervisory or team leadership experience within brokerage operations, advisory operations, managed accounts, or wealth management operations
- Strong understanding of FINRA, SEC, and internal regulatory policies and procedures
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