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Operations Manager, Financial Services (ALO Platinum Service Leader)
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Full-time
- FINRA Series 6 required and must be obtained within 120 days from hire.
- Candidates with Series 6 in hand at time of hire are preferred.
- We'll count on you to adhere and enforce all financial controls, as well as legal and regulatory guidelines and regulations set forth by IRS, state insurance and securities departments, FINRA, ERISA, Securities and Exchange Commission (SEC), Nationwide Financial (NF) Compliance and the NF Anti-Money Laundering Steering Committee.
- Coordinates the implementation of all enacted state and federal regulations for products and procedures, ensuring Operations is prepared and advised of audits/regulatory/legislative changes in a timely fashion.
- Leads associates that take audit recommendations and calibration sessions through the continuous improvement model.
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