Supervisor, Operations

The Supervisor, Operations leads a brokerage operations team responsible for delivering timely, accurate, and high-quality service to financial professionals, advisors, broker-dealers, and internal business partners. This role oversees day-to-day work distribution, service levels, quality standards, escalations, and process adherence while helping remove barriers that affect team performance. The Supervisor partners with internal departments, business leaders, vendors, training, quality control, and escalation resources to resolve operational issues, improve processes, and support a consistent advisor experience. Success in this role is measured by team performance against service, quality, productivity, risk, and compliance expectations, as well as the development and engagement of direct reports.

• Lead and manage a brokerage operations team to ensure processes, guidelines, service levels, quality standards, and key metrics are achieved or exceeded. Approximately 10 direct reports. 
• Review daily volumes, queues, team capacity, and performance metrics; adjust work distribution and priorities to support timely completion of operational work.
• Identify process issues, analyze root causes, and recommend practical improvements that strengthen efficiency, quality, service consistency, and risk mitigation.
• Partner with quality control, escalation, compliance, technology, training, and other operational partners to resolve complex issues and implement agreed-upon fixes.
• Hold regular team meetings and one-on-one discussions to communicate priorities, review performance, coach employees, and remove barriers to effective performance.
• Support hiring, onboarding, training, development, performance feedback, and career growth for direct reports in partnership with leaders and support functions.
• Maintain strong working relationships with internal departments, external vendors, and business leaders to support effective service delivery and issue resolution.
• Monitor, reinforce, and contribute to policies, procedures, and written supervisory procedures to support compliant, consistent, and well-controlled operations.
• Prepare and share applicable operational updates, metrics, and recommendations with leaders, business partners, or governance groups as needed.

• High school diploma or GED required; bachelor’s degree in business, finance, economics, or a related field preferred.

• Experience in customer service, brokerage operations, or financial services operations; prior experience leading, supervising, or coaching a team.

• Licenses or certifications: Series 99 or Series 7

• Preferred experience includes brokerage operations, advisor support, service center operations, quality control, escalation handling, vendor management, process improvement, or compliance-focused operational environments.