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Chase Wealth Management-VP, Regional Business Operations Manager-Dallas, Texas

Req #: 170102131_1
Location: Houston, TX, US
Job Category: Operations
Potential Referral Amount: 0 US Dollar (USD)

The Regional Business Operations Manager is responsible for the management of escalated operational issues to eliminate/reduce the impacts against risk and controls. Collaborates with Regional Director, Regional Supervisory Manager, Market Director and Supervisory Manager’s to identify and document operational best practices to implement within the region/market. Specifically provide coaching, training and guidance to the region as it relates to ensuring compliance with operating policies and procedures. Responsibilities could include:

People / Leadership

  • Strategic leader who makes decisions with a long-term view and manages escalations from end-to-end, including tactical recommendations on processes and an operational approach based on changing business model
  • Acts with a high level of professionalism in dealing with highly sensitive and confidential requests
  • Strong execution style; focused on delivering results, takes ownership/accountability and considers risk and controls when making recommendations
  • Partnership
  • Builds and maintains a strong rapport with Regional Director, Regional Supervisory Manager, Market Director, and Supervisory Manager to leverage resources and partners as appropriate to refine processes to improve the customer experience
  • Collaborates effectively across boundaries, levels and functions to solve issues in a productive and timely manner to reduce the impact on risk and controls;
  • Assist with resolution on issues that arise to ensure the firm retains clients and resolves at risk client issues
  • Provides guidance to the Regional Director, Regional Supervisory Manager, Market Director, and Supervisory Manager on issues impacting the Region, business or staffing
  • Takes ownership of operational issues from Market Directors and Supervisory Managers to ensure partners are able to focus on sales, daily risk and controls
  • Communication
  • Actively participates in weekly, monthly and quarterly business partner meetings, calls and workshops as appropriate
  • Strong communication skills to drive change through consistent, balanced messaging
  • Proactively communicates key operational initiatives
  • Able to effectively influence Advisors and Assistants to understand their roles and lives the ‘Keys to a Great Customer Experience’ every day
  • Controls/ Organization Skills
  • Executes on key initiatives and projects related to the operational processes with a lens on improving the customer experience
  • Identify and share market specific issues/challenges in relation to products and services (AAR, KYC, Product or Operational Processes)

Business Specific

  • Participates in regional/market leadership meetings to present operational topics and take the appropriate action on operational concerns
  • Reviews high risk reports on an ongoing basis and works with advisors to address.
  • Utilizes reports to identify trends in data, strategizes with Market Directors and Supervisory Managers on addressing training needs for advisors and/or best-practices on how to monitor, resolve, and/or resources are available to assist with resolution
  • Joint branch visits with Market Directors and Supervisory Managers to assist advisors with resolving outstanding Know Your Customer/Annual Account Reviews and advising them on how to manage items to prevent aging; providing coaching as needed
  • Collaborates with Supervisory Managers and Regional Compliance Officers on client service complaints that result in advisor warnings; specific to operational processes, identify gaps and help formulate timeline of actions
  • Independently develops value-added business solutions for escalations
  • Conduct branch visits with advisor/assistants to facilitate ongoing development and training on system navigation, processes, procedures, and OCC Reg 9 Fiduciary Responsibilities. As requested by Market Directors or Supervisory Managers as needed
  • Conduct workshops as requested/needed by Market Directors and Supervisory Managers


  • Proven success and experience in Business and or Consumer banking with knowledge of branch and back office operations, roles and responsibilities, sales structure and product/service offerings
  • Strong communication skills – ability to communicate across multiple levels of the organization
  • Deliver effective messages and presentations to various skill levels
  • Strong research, problem solving and decision making skills
  • Organized, flexible and able to achieve results through influence management; strong coaching skills
  • Proven success and experience in working with high net-worth advisors, clients and senior level management
  • Knowledge of sales structure, products/service offerings, consumer, business, and private bank operations.
  • Ability to identify key trends and issues within a given market and propose ideas/solutions for training, possible technology enhancements and process changes; as well as reducing the potential impacts to risk and controls
  • Ability to prioritize, manage and execute multiple tasks and work streams; manage to deadlines with timely responses
  • Proficient in branch and investment systems; Workstation, Connect, Customer Assist, Contact Manager and reporting
  • Effective organization, time management and prioritization skills
  • 8 to 10 plus years of investment experience
  • Maximizes technology and resources
  • Series 7, 24 and 66 license beneficial to understanding the products and services provided

Skills required are advanced:
▪ Multi-tasking
▪ Issue resolution
▪ Organizational skills
▪ Oral & written communication
▪ Time management
▪ Analytical skills
▪ Leadership
▪ Strategic planning
▪ Conflict management
▪ Budget management
▪ Ability to think globally
▪ Risk management

Knowledge required is advanced:
▪ LOB knowledge
▪ Business processes and procedures
▪ Product knowledge
▪ Industry knowledge
▪ Regulatory requirements
▪ Business' strategic direction
▪ Local market knowledge
▪ Experienced in multiple disciplines/functions
▪ Corporate policies
▪ Detailed knowledge of business services and systems

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