BCI - Brokerage Consultants Ltd.

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Brokerage Consultants - Financial Recruiting

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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:
548-159

Job Type:
Permanent

Title:
Chief Operations Officer, Senior Vice President (548-159)

Location:
Midwestern U.S.

Description:
As one of the nation’s leading independent broker-dealers, our client is seeking qualified and talented
professionals to lead as Chief Operations Officer. The combination of long-term professional
development in a unique, small-town community makes this a one-of-a-kind opportunity.

Reporting to the President, the Chief Operations Officer will actively participate as part of the executive
management team and focus on strategic business planning, forecasting and various organizational
initiatives including oversight at the most senior level, all aspects of the Brokerage Operations,
Operations Servicing, Partner Support and Trading units.

RESPONSIBILITIES:

Executive Council
Participate in the development of the organization’s purpose, values statements and strategic planning
and effectively contribute to the communication of the organization’s strategic and tactical goals; act as a
role model and develop credibility by working to instill the company’s purpose and values throughout
the entire organization
Perform prompt, high level problem resolution and handle any issues that require escalation as an
Executive of the organization
Interact with the firm’s rep-advisors, proactively develop strong business relationships and assist with
any matter presented for consideration
Report on a regular basis relevant information to various levels of leadership regarding progress on
monthly, quarterly, and / or yearly objectives identified through the strategic planning process
Develop and maintain high profile, external relationships within client constituents, strategic partners,
and professional organizations

Specific to Areas of Responsibility
Consult with other leaders to establish the company’s service vision and lead all aspects of achieving
service excellence within areas of responsibility
Execute strategies and operational infrastructure plans that drive business growth, both revenue and
profitability
Ensure optimal operating efficiency within areas of responsibility
Measure effectiveness of all operational and service processes, internal and external
Provide timely, accurate and complete reports on the operating condition of business units under areas of
supervision
Collaborate with operational leadership team to develop and implement plans for the operational
infrastructure of systems, processes, and personnel designed to accommodate the rapid growth
objectives of our organization
Act as lead “client-care officer” through direct contact with clients on a consistent basis
Consult with other leaders, staff and clients to anticipate current and future operational, systems, and
service requirements
Ensure regulatory and internal compliance related operations and trading functions are followed
Act as the primary executive relationship manager for our full disclosed clearing partner firms, including
ensuring pricing and contract negotiations are effectively managed and facilitated

General
Effectively plan and establish sound financial and operational controls within business units under direct
areas of responsibility, prepare reasonable annual budgets for reach unit, and evaluate status regularly
Conduct quality assurance tests within business units under areas of responsibility and ensure that
company service standards are regularly being met
Conduct continuing assessments of departmental performance compared to organizational performance
– consider present and planned capacity of business units under areas of responsibility (to assess
productivity/profitability) in financial terms, staffing and organization, and rep-advisor customer
satisfaction
Perform in-depth analysis on all procedures within business units under areas of responsibility on a
regular basis and identify and implement process improvements in terms of efficiency, new creative
methods, or revised techniques that will allow greater cost effectiveness or higher levels of service

Supervisory Responsibilities
Motivate and lead a high-performance team and review performance of teams on regular basis to ensure
alignment with corporate approach
Attract, recruit, and retain required members of the team; including proactively forecasting staffing
needs and administering timely and regular performance reviews
Ensure that policies and procedures as set forth in the Company Employee Manual are being followed;
including administering timely verbal, written, and termination notices to employees as necessary
Set reasonable standards for accomplishing organization’s purpose, goals and objectives and
departmental goals and objectives to establish strong measures of accountability to meet those standards

REQUIREMENTS:
Bachelor’s degree (B.A.) from 4-year college or university
15+ years’ related experience and / or training; or equivalent of education and experience
Experience in an independent broker-dealer preferred
FINRA Series 7 and Series 24 securities licenses required
Ability to travel approximately 10-15%; ability to travel locally within a specific geographical area;
some travel outside of specific geographic area as applicable


Category:
Alternative Investments // Compliance and Legal

Contact:
zach@bcius.com