BCI - Brokerage Consultants Ltd.

Our Focus: Financial Services

We connect the right people with the right positions throughout the financial community.

  • Asset Management
  • Alternative Investments
  • Banking
  • Broker/Dealers
  • Commercial Lending
  • Consulting
  • Corporate Treasury
  • Family Offices
  • Financial Services Software Services
  • Insurance & Pension Funds
  • Municipal Finance
  • Private Equity
  • Real Estate Finance
  • Trading

Brokerage Consultants - Financial Recruiting

Tap our resources.

They run deep. Since our inception we've kept our focus trained exclusively on the financial industry, and we've built a vast network of contacts in the process. Let us put those resources to work for you. We'll connect you with the most current job openings at the most desirable companies in Chicago or nationwide.

Job Order:

Job Type:

Investment Operations Manager (826-182)


Independent broker-dealer seeks Investment Operations Manager with
supervisory experience and financial services industry (operations/back
office processing) knowledge to manage and oversee teams responsible for
Document Management and New Business Processing. Will work with Team Leads
to monitor daily work flow, develop staff and identify ongoing improvements.

Monitor work levels; adjust resources to accommodate periodic spikes in
incoming volume
High level problem resolution; review exception reports and operational
workflows to ensure efficiency
Recommend and lead process/staffing adjustments to drive efficiencies and
adhere to service level standards
Conduct training to coach/mentor team members; identify/correct employee
performance issues; conduct regular staff reviews; hire new staff as needed
Periodic assistance with processing of business as volume levels dictate
Contact advisors/clients/clearing firms/transfer agents as required to
resolve escalated service issues
Work closely with Transition Team to support member office/rep/office staff
onboarding/offboarding and Investment Service Management Team to ensure high
customer service/satisfaction
Produce daily/weekly/monthly statistics for management;
review/edit/disseminate department field communications
Keep current with industry trends in workflow standards,
compliance/regulatory requirements
Other duties as assigned by management

10+ years of financial services experience including prior management
College degree or equivalent
Series 7 and 24 required
Series 63/65 or Series 66 strongly preferred (must obtain if not held);
additional licensing encouraged
Ability to communicate effectively at all levels of the organization
Extensive knowledge of investment vehicles/processes associated with Broker
Dealer and RIA accounts
Proven ability to drive process improvements, develop staff and drive
quality service
Ability to oversee/manage daily processing
Strong initiative/quality consciousness; team player; flexible/adaptable;
willing to do whatever is asked; strong analytical/problem-solving/research
skills; ability to establish/meet deadlines, work under pressure and handle
multiple priorities with high degree of accuracy; ability to deal
effectively with changes/variables/“gray” areas
Strong computer skills (Word, Excel, Outlook) required; experience with
advisor facing software/applications preferred

Broker Dealer