Bank of the West BWIS Operations Mgr-Licensed in Omaha, Nebraska
BWIS Operations Mgr-Licensed
At Bank of the West, our people are having a positive impact on the world. We’re investing where we feel we can make the most impact, like advancing diversity and women entrepreneurship programs, financing for more small businesses, and promoting programs for sustainable energy. From our locations across the U.S., Bank of the West is taking action to help protect the planet, improve people’s lives, and strengthen communities. We are part of BNP Paribas, a global leader supporting the UN Sustainable Development Goals (SDGs). Yes, we’re a bank, but as the bank for a changing world, we are continually seeking to improve the ways we help our customers, while contributing to more sustainable and equitable growth.
Job Description Summary
Manages the Risk and Review unit under Investment Services of the Wealth Management Group, within WMG Operations. Within this one unit, responsible for managing four (4) key areas which are - RIA operations program including Group Plans, Business Continuity Plan for BancWest Investment Services, Risk review for the Broker Dealer/RIA including Best Execution, Trading and Margin, and Scan/Mail services.
Essential Job Functions
Manage the daily activities of the Risk and Review team, including RIA Ops functions, Trading and Scan/Mail activities; Design and deliver a servicing support model which optimizes the client and advisor experience; Identify and implement process changes to improve operating efficiency, including driving the delivery of technology enhancements and adoption as well as procedural changes.
Establish an objective set of risk and review metrics and ensure consistent monitoring to reduce risk and improve service delivery; Identify trends and recommend actions to reduce risk, including process changes, training efforts, technology enhancements, etc.
Partner with external service providers and bank control functions in the development of risk and review policies that optimally support evolving business and customer needs; Engage with technology partners in the development of digital tools to enhance the advisor and customer experience; Partner with WMG team leadership (including Sales, Key Client Group, Compliance, BoW Risk) in identifying and agreeing to SLA's; Actively participate in recurring relationship forums with key business partners to review and report on service delivery achievements and agree on improvement areas for action.
Develop and manage operational KPI's to ensure business performance objectives are met; Partner with business colleagues in monitoring adoption of digital service solutions and devising plans for increasing usage levels.
Partner with WMG team in ensuring the delivery of a seamless operational support model on behalf of WMG clients and advisors; Ensure cross-training of staff and awareness of critical functions performed collectively across the combined team to avoid service gaps for clients and advisors, targeting a 'single-call solution' model; Partner with WMG & C&G, Service Center and the bank's control and regulatory functions to ensure a robust control environment, with effective and proactive monitoring practices.
Responsible for the recruitment, development, coaching, counseling, discipline, writing and administering of performance reviews in a timely manner and retention of assigned team members.
Other Job Duties
- Performs other duties as assigned.
High School Diploma or GED Required
Bachelor's Degree Business Administration, Finance or related field
- 10 yrs minimum years prior relevant experience in the Financial Services Industry, preferably Banking or Investment Management. Previous Operations and Relationship Management experience strongly preferred. Prior experience must include at least 4 years managing or supervising direct report employees.
Licenses & Certifications
- Series License-7, 63 and 24 Upon Hire
Strong sense of ownership and accountability; self-motivated; Strong communication skills (oral, written, listening) with diverse audiences.
; Must be adaptable/flexible when operating in ambiguous situations.
Demonstrated strong relationship building skills both within and across teams.
Equal Employment Opportunity Policy
Bank of the West is an Equal Opportunity employer and proud to provide equal employment opportunity to all job seekers without regard to any status protected by applicable law. Bank of the West is also an Affirmative Action employer - Minority / Female / Disabled / Veteran.
Bank of the West will consider for employment qualified applicants with criminal histories pursuant to the San Francisco Fair Chance Ordinance subject to the requirements of all state and federal laws and regulations.
Job: Advisory Services
Location: United States-Nebraska-Omaha
Requisition ID: 056898