Capital Access Operations Supervisor Southfield, MI

Position: Capital Access Operations Supervisor I Southfield, MI
This position follows our hybrid-friendly schedule, so you get the best of both worlds - flexibility and collaboration. In-office days will be 3 per week averaging 12 days per month in our  
** Southfield, MI
** Corporate Office.

** Responsibilities*
* + Supervise a team of 10-12 associates who provide support to clients and advisors via phone, email and eventually chat.

+ Lead a team supporting Capital Access operations, ensuring accurate and timely processing of client/branch requests and onboarding activities.

+ Utilize knowledge of banking and brokerage operations to support operational effectiveness and mitigate risk.

+ Interact with contracted vendors (Fiserv, UMB Bank, Deluxe, Visa) who help deliver the Capital Access cash management products and services provided to clients.

+ 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.

+ 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, taking appropriate corrective action where necessary to ensure the achievement of team/personal objectives.

+ Develop associates in their careers via annual development plans, monthly 1-on-1 meetings and performance coaching 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 Capital Access operations.

+ Identify, within the team, instances of noncompliance with the organization's policies and procedures and/or relevant regulatory codes and codes of conduct, reporting these instances and escalating issues as appropriate.

** Experience*
* + Prior supervisory or team leadership experience within brokerage or banking operations.

+ 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.

+ Knowledge of cash management operations (checking, ACH, Bill Pay, Visa debit card).

** Skills*
* + Strong leadership, organizational, and team development skills with the ability to prioritize and oversee operational activities to meet business objectives.

+ Ability to interpret and apply FINRA, SEC, and internal regulatory policies and procedures within a highly regulated financial services environment.

+ Strong analytical and problem-solving skills with the ability to identify operational risks, process gaps, and opportunities for improvement.

+ Effective verbal and written communication skills with the ability to provide guidance, coaching, and technical direction to team members and business partners.

+ Experience analyzing operational data and performance metrics to support reporting and business decision-making.

+ Ability to manage competing priorities, adapt to changing business needs, and drive operational efficiency in a fast-paced environment.

+ Strong customer service mindset with the ability to support advisors, internal partners, and clients effectively.

+ Experience managing projects, workflows, and process improvement initiatives within established timelines and quality standards.

+ Ability to collaborate and build consensus across operations, compliance, risk, and other business stakeholders.

** Licenses/Certifications*
* + SIE required or ability to obtain within 120 days (as required by FINRA), provided that an exemption or grandfathering cannot be applied.

+ 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.