AVP, I&RS Operations

The AVP, I&RS Operations is responsible for overseeing all operational aspects of the investment and private banking lifecycle, ensuring accuracy, scalability, and efficiency across portfolios and client relationships. This role provides leadership across administration, private banking, and specialized account management functions while partnering closely with investment, service, and compliance teams. The leader will drive operational excellence, business growth, and process standardization to support client retention and organizational objectives.

Directly supervises staff of up to 4 to include Decedent Account Specialist, and operations support staff. Supervisory responsibilities are carried out in accordance with the credit union’s policies and applicable laws. Responsibilities include interviewing, making hiring recommendations, and training employees; planning, assigning, and directing work; appraising performance; rewarding and disciplining employees; leading department meetings; addressing complaints and resolving problems.

Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Investment & Operational Oversight

• Lead end-to-end investment operations, including trade support, settlement, reconciliation, valuation, new account opening, transfers, and performance reporting.
• Ensure accuracy, timeliness, integrity and reporting of portfolio and client data.
• Maintain strong internal controls and operational risk management frameworks.
• Assist with onboarding new advisors – ClientWorks registration, access to DRAB code, Redtail, Xperience, and other systems.

Administrative Leadership

• Oversee administrative staff and the Decedent Account Specialist to ensure high-quality service delivery.
• Manage tasks assigned to admin team, ensuring workload is consistent and tasks are completed by specified service level agreement.
• Review pending tasks/new business. Address roadblocks to ensure minimal impact to clients.
• Review check deposits for accuracy.
• Manage alerts in ClientWorks, ensure admin team is acknowledging and closing alerts.
• Keep up to date with the latest changes in ClientWorks and train admin and advisor teams on new or updated features.

Decedent Account Management

• Oversee decedent account processes and workload management.
• Track and report key metrics, including:
  • Number of opened and closed notifications
  • Loans paid by insurance
  • Funds retained within the organization
  • Other decedent account issues, such as loan payoffs, etc.
• Ensure sensitive, timely, and compliant handling of all decedent-related accounts.
• Oversee estate and trust account processing.

Process Improvement & Workflow Management

• Manages and implements repeatable, scalable workflows including, but not limited to, client onboarding, move money requests, deceased clients, and reviews.
• Identify inefficiencies and drive process automation and standardization initiatives. Work with the Empeople Automation Team to identify opportunities to sync CRM with Symitar and improve our automated reporting.
• Establish key performance indicators (KPIs) to monitor operational
• Resolve service issues and identify solutions to prevent repeat situations.
• Contact clients after certain service requests to discuss their experience and ask for feedback.

Technology & Data Management

• Oversee investment operations systems (OMS, CRM, reporting platforms)
• Partner with IT on system improvements and integrations focusing on CRM, Symitar, and Xperience integrations and PowerBI reporting improvements.

Risk, Compliance & Governance

• Ensure adherence to regulatory requirements and internal policies.
• Manages audits and implements corrective actions as needed.
• Proactively identify and mitigate operational risks.
• Partner with AVP, Member Experience to measure client satisfaction through surveys issued after certain service events.

Ability To:

• Solve practical problems by providing and communicating solutions to co-workers and members.
• Communicate and present information to clients and potential clients one-on one.
• Accurately implement standards and procedures, make independent decisions using sound judgment, organize and prioritize workload, and maintain a professional relationship with members, employees and vendors.

Knowledge Of:

• Credit Union policies and procedures and products and services offered by the Credit Union.
• Investment and insurance products.
• Applicable state and federal laws and regulations.
• The fundamentals of portfolio creation and management
• Separately managed accounts and trust services
• Series 7 and 66 licenses preferred.
• Knowledge of LPL ClientWorks, Redtail, Microsoft Office Suite, and PowerBI

EDUCATION/EXPERIENCE:

• Bachelor’s degree in a related field preferred
• Minimum of 3 years of management experience in a brokerage operation

• Health, Dental & Vision Benefits
• Bonus opportunity
• 401(k) with match and profit sharing
• Flexible Time Off