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Job Summary

Under general supervision, uses knowledge and skills obtained through experience and training to supervise a single function or less complex specialty work group, typically involving service, operations or administrative associates. May lead defined work or projects of moderate scope and complexity. Guidance is provided to perform varied work that is somewhat difficult in character requiring some evaluation, originality and ingenuity to make moderately complex decisions. Resolves or recommends solutions to problems. May have extensive contact with internal and external customers to identify, research, and resolve problems.

Essential Duties and Responsibilities

• Performs supervisory activities, including identifying performance problems and seeking guidance for remedial action; reviewing performance; and participating in interviewing and selecting staff.

• Plans, assigns, monitors, reviews, evaluates and leads the work of associates operating in

lower risk areas of the firm.

• Coaches and mentors subordinates, identifies training needs and recommends development

programs.

• Assists in preparing and presenting operational budgets for a single functional area.

• Assists in gathering review and audit items.

• Assists in responding to Internal Audit.

• Interprets and applies organizational policies and procedures.

• Participates in establishing objectives and developing processes and procedures to ensure

efficient and timely work flow.

• Performs periodic reporting on work progress, project completions and additional ad-hoc

reporting as needed.

• Ensures effective coordination occurs within assigned work group and with other work groups.

• Performs other duties and responsibilities as assigned.

Knowledge of

• Concepts, principles and practices of assigned functional area.

• Investment concepts, practices and procedures used in the securities industry.

• Principles of banking and finance and securities industry operations.

• Financial markets and products.

Skill in

• Preparing operational budgets.

• Interpreting and applying policies and procedures.

• Establishing operational objectives.

• Implementing processes and procedures for efficient and timely work flow.

• Preparing management reports.

• Promoting effective coordination between work groups.

• Operating standard office equipment and using required software applications.

Ability to

• Plan, assign, monitor, review, evaluate and supervise the work of others.

• Coach and mentor others.

• Identify training needs and develop subordinates.

• Balance conflicting resource and priority demands.

• Maintain currency in assigned area of responsibility.

• Partner with other functional areas to accomplish objectives.

• Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.

• Incorporate needs, wants and goals from different business unit perspectives into operational

processes.

• Read, interpret, analyze and apply information from job-related publications.

• Incite enthusiasm and influence, motivate and persuade others to achieve desired outcomes.

• Interpret and apply policies.

• Organize, manage and track multiple detailed tasks and assignments with frequently changing

priorities in a fast-paced work environment.

• Communicate effectively, both orally and in writing.

• Work independently as well as collaboratively within a team environment.

• Lead others in providing a high level of customer service

• Establish and maintain effective working relationships at all levels of the organization.

Licenses/Certifications

• None