Advisory & Managed Accounts Operations Supervisor Memphis, TN

Job Description Summary

Manage the development and implementation of processes, systems, and infrastructure to ensure a high quality and timeliness of operations in areas such as account services, international securities, transaction processing, or loan support/credit approval. Manage several departments of a processing unit or the entire unit.

The position follows our hybrid‑friendly schedule, with three in‑office days per week in our Memphis, TN Corporate Office. This role leads teams supporting Advisory and Managed New Account processing within a fast‑paced financial services environment. The ideal candidate brings strong operational leadership experience, deep understanding of investment products, managed accounts, and account onboarding processes, and a proven record of supervising operations teams that support investment advisory products, separately managed accounts (SMAs), unified managed accounts (UMAs), fee‑based advisory platforms, or related wealth‑management products.

• Supervise others working within established operational systems.
• Lead a team supporting Advisory and Managed New Account operations, ensuring accurate and timely processing of investment account documentation and onboarding activities.
• Utilize knowledge of investment products, advisory platforms, brokerage operations, and managed account processes to support operational effectiveness and mitigate risk.
• Contribute to the development of annual and longer‑term business plans; forecast performance against key business performance indicators (KPIs); develop business cases for key activities/projects; and estimate the financial and human resources required to deliver performance targets.
• Communicate the local action plan, explaining how it relates to the function’s strategy and action plan and to the broader organization’s mission and vision; motivate people to achieve local business goals.
• Develop and propose own performance objectives; take appropriate actions to ensure achievement of agreed objectives, using the organization’s performance management systems to improve personal performance; or manage and report on team performance, set appropriate performance objectives for direct reports or project/account team members and hold people accountable for achieving them.
• Supervise a team providing administrative and service operations support and maintain deep expertise in the service operations provided by that team.
• Develop short‑ or medium‑term work schedules to achieve planned commitments; approve overtime or use additional resources as needed.
• Identify shortcomings in existing processes, systems, and procedures, and use established change management programs to address them.
• Work within established procedures to achieve specified goals; ensure operational activities align with applicable FINRA, SEC, and internal compliance requirements related to investment and advisory account operations.
• Provide coaching to team members to develop their skills; identify, within the team, instances of non‑compliance with the organization’s policies and procedures or relevant regulatory codes, report these instances and escalate issues as appropriate.

Prior supervisory or team leadership experience within brokerage operations, advisory operations, managed accounts, or wealth‑management operations. Experience supporting investment products and advisory account platforms, including managed accounts, fee‑based advisory programs, and brokerage account onboarding. Strong understanding of operational risk, account controls, client onboarding, suitability considerations, and regulatory requirements associated with investment account processing. Ability to partner effectively with advisors, compliance, risk, and operational stakeholders in a highly regulated financial services environment.

Strong leadership, organizational, and team development skills with the ability to prioritize and oversee operational activities to meet business objectives. Demonstrated knowledge of investment operations, advisory platforms, managed account processing, and wealth‑management onboarding functions.

• Ability to interpret and…