Healthcare Operations Manager at DaVita overseeing clinic operations and patient care. Lead team efforts for quality improvement and financial management in a supportive environment.
About the role
- Team Lead overseeing compliance and operational activities for Mariner's broker-dealer. Ensuring adherence to regulations while fostering a culture of excellence and teamwork.
Responsibilities
- Lead and coordinate broker-dealer operations and supervision support to ensure accurate, timely processing and high-quality service to clients and registered representatives.
- Serve as the primary point of contact for MSEC operations, partnering closely with Compliance, Licensing, vendors, product sponsors, carriers, and clearing firms.
- Oversee day-to-day account onboarding and maintenance, including data entry and reconciliation, NIGO resolution, and coordination with registered representatives prior to supervisory review.
- Support supervisory and compliance activities, including AML/CIP, OFAC, FinCEN 314(a), SEC Rule 17a-3 books and records, check supervision, and regulatory inquiries or examinations.
- Develop, maintain, and enhance operational procedures, controls, metrics, and documentation to ensure accuracy, consistency, and regulatory compliance.
- Train, coach, and mentor the Broker-Dealer Operations & Supervision Support team while modeling and reinforcing Mariner’s values.
- Assist with onboarding and transitions of registered representatives, including system access, licensing coordination, and ongoing consultative support.
- Drive innovation and continuous improvement through the evaluation and implementation of technology, automation, workflow enhancements, and AI-enabled solutions.
- Support special projects and operational initiatives, including system evaluations, mail and medallion processing, and other business-critical activities as needed.
Requirements
- 3+ years of brokerage operations experience within the securities industry
- FINRA Series SIE, 7, 24, or 9/10
- Experience with trade reporting systems, such as TRACE, RTRS, and CAT/CAIS a plus, but not required
Benefits
- We believe in giving associates progressive opportunities
- Actively nurturing professional growth
- Giving back to the community
- Dedicated to building a diverse culture
- Support they need to achieve their career goals
- Innovative workplace and a culture that fosters camaraderie, teamwork and work-life balance
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
No Education Requirement
Location requirements
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