Thank you for your interest in a career at Regions. At Regions, we believe associates deserve more than just a job. We believe in offering performance-driven individuals a place where they can build a career --- a place to expect more opportunities. If you are focused on results, dedicated to quality, strength and integrity, and possess the drive to succeed, then we are your employer of choice.

Regions is dedicated to taking appropriate steps to safeguard and protect private and personally identifiable information you submit. The information that you submit will be collected and reviewed by associates, consultants, and vendors of Regions in order to evaluate your qualifications and experience for job opportunities and will not be used for marketing purposes, sold, or shared outside of Regions unless required by law. Such information will be stored in accordance with regulatory requirements and in conjunction with Regions’ Retention Schedule for a minimum of three years. You may review, modify, or update your information by visiting and logging into the careers section of the system.

Job Description:

At Regions, the Investment Operations Manager plays a critical role in overseeing day-to-day operations that support the execution of investment strategies and enables delivery of exceptional client service. This role requires a strong understanding of regulatory frameworks, investment products, and vendor management.  An integral part of this role is supporting the Area Investment Executives, the Financial Advisors and Senior Management. This role works closely with Legal, Risk and compliance partners on mitigating risk.

Primary Responsibilities

Ensures full compliance with Financial Industry Regulatory Agency (FINRA), Securities and Exchange Commission (SEC), and internal policies; maintains records and audit procedures in line with Series 24 supervisory responsibilitiesServes as the business owner of the relationship with 3rd party clearing partner CeteraProvides strategic oversight for risk management to ensure that systems and processes are in place for investment compliance needsLeads recruitment, onboarding, and training initiatives to build a high-performing brokerage teamProvides guidance and development opportunities to team members to ensure efficiency and best practicesDevelops strategic initiatives to grow client assets under management and improve client retentionCollaborates with senior leadership to align brokerage strategies with overall business objectivesServes as an escalation point for complex client inquiries or compliance concernsStays up to date with market trends, regulatory changes, and industry best practices

This position is exempt from timekeeping requirements under the Fair Labor Standards Act and is not eligible for overtime pay. 

This position is incentive eligible.

This is a single incumbent position.

Requirements

Bachelor’s degree in Business Management or a related fieldTen (10) years of experience in the investment or financial services industry, of which two (2) years must be in a supervisory/managerial capacityFINRA Series 7, 66 (or 63 & 65)FINRA Series 24 must be obtained within 180 days from employment start date  Strong understanding of investment products, portfolio management, financial planning, and regulatory compliance

Skills and Competencies

Excellent communication, analytical, and problem-solving abilitiesExperience with Salesforce and brokerage platforms (e.g. Salesforce, Pershing, Fidelity, Cetera or similar)Proven leadership and people management skills with the ability to mentor and inspire

Position Type

Full time

Compensation Details

Pay ranges are job specific and are provided as a point-of-market reference for compensation decisions. Other factors which directly impact pay for individual associates include: experience, skills, knowledge, contribution, job location and, most importantly, performance in the job role. As these factors vary by individuals, pay will also vary among individual associates within the same job.

The target information listed below is based on the Metropolitan Statistical Area Market Range for where the position is located and level of the position.

Job Range Target:

Minimum:

$167,355.65 USD

Median:

$242,010.00 USD

Incentive Pay Plans:

This role is eligible to participate in the annual discretionary incentive plan. Employees are eligible to receive a discretionary award based on individual, business, and/or company performance.Opportunity to participate in the Long Term Incentive Plan.

Benefits Information

Regions offers a benefits package that is flexible, comprehensive and recognizes that "one size does not fit all" for benefits-eligible associates. Listed below is a synopsis of the benefits offered by Regions for informational purposes, which is not intended to be a complete summary of plan terms and conditions.

Paid Vacation/Sick Time401K with Company MatchMedical, Dental and Vision BenefitsDisability BenefitsHealth Savings AccountFlexible Spending AccountLife InsuranceParental LeaveEmployee Assistance ProgramAssociate Volunteer Program

Please note, benefits and plans may be changed, amended, or terminated with respect to all or any class of associate at any time. To learn more about Regions’ benefits, please click or copy the link below to your browser.

https://www.regions.com/welcometour/benefits.rf

Location DetailsRiverchase Complex North Building

Location:Hoover, Alabama

Equal Opportunity Employer/including Disabled/Veterans

Job applications at Regions are accepted electronically through our career site for a minimum of five business days from the date of posting. Job postings for higher-volume positions may remain active for longer than the minimum period due to business need and may be closed at any time thereafter at the discretion of the company.