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Operations Manager- Brokerage 


Role and Responsibilities

Responsible for delivering a wide range of critical client support to the advisor and principal teams and help to provide the resources and guidance Wealth Management clients need to achieve their financial goals. Duties are varied and can include: supporting the preparation of financial plans and reviews; executing investment transactions; scheduling and organizing meetings; responding to client inquiries and maintaining and updating client files.



  • Interact daily with clients, process client requests and answer basic client inquiries in a timely manner. Address inquiries to appropriate areas
  • Proactively communicate with clients on a regular basis through a range of communications vehicles
  • Coordinate the preparation of financial plans, annual or quarterly reviews and other ad-hoc client meetings materials
  • Prepare balance sheets, investment allocation summaries, meeting agendas, charts, graphs and added services
  • Schedule client and team meetings as required
  • Discuss and organize follow-up steps with the advisors or firm principals after client meetings
  • Prepare client engagement agreements and investment applications including new account applications, process transfers of client accounts, provide daily tracking of project status and keep client informed of the progress of their accounts
  • Coordinate account transfers and obtains cost basis information for incoming assets
  • Execute equity, fixed income, mutual fund and variable annuity transactions under the direction of the firm principal or advisors
  • Review daily transaction reports to ensure accuracy of previous day activities
  • Monitor client account activity including dollar cost averaging activity
  • Verify cash balances for systematic withdrawal programs
  • Generate and review monthly available cash report
  • Maintain the client referral program by coordinating next steps and providing required advisor/principal support
  • Manage all details of clients, prospects and vendors in CRM
  • Populate and maintain accurate client data in client relationship management database, client fee billing and reporting systems
  • Prepare fee invoices and monthly fee bill summary; coordinate compliance approval and payment for client accounts
  • Ensure system backups are completed on routine basis
  • Monitor continuing education requirements for advisors, principals and team members
  • Order and maintain all supplies including forms, prospectuses and useful research information
  • Coordinate mailings; process incoming mail
  • Commit to continuous education and professional development to remain current in industry issues, CRM and financial planning software, including report and analysis preparation
  • Foster an environment of open, honest and timely communications
  • Ensure the mission statement, vision and core values of the firm are incorporated into the duties and responsibilities of the position
  • Maintain administration and relevant client service reporting and planning systems; manage relevant reporting of management and financial information for the client service department
  • Cooperates with, participates in, and supports the adherence to all internal policies, procedures, and practices in support of risk management and overall safety and soundness and the bank’s compliance with all regulatory requirements, e.g. Community Reinvestment (CRA), Bank Secrecy Act (BSA), Equal Credit Opportunity Act, etc.
  • Reports pertinent information to the immediate supervisor as requested, or according to an established schedule; compiles information as necessary or as directed and provides data to appropriate company personnel
Position Requirements


Bachelor’s Degree

Series 63 preferred


  • A minimum of three (3) years of experience in the financial services industry, preferably with an investment management or advisory firm

Preferred Skills

  • Exceptional oral and written communication skills
  • Excellent follow-up and follow-through capabilities
  • Personable, approachable with a positive attitude
  • Organized, meticulous, detail-oriented and able to multitask
  • Able to interact well with sophisticated, high net worth clients and all employees
  • Able to exercise good judgment by recognizing urgency and setting priorities
  • Professional attitude, demeanor and appearance
  • Able to work independently with good problem solving, mathematical and time management skills
  • Comfortable with public speaking
  • High degree of confidentiality and latitude
  • Work experience that demonstrates interpersonal and teamwork skills

Ancillary Duties

  • Performs tasks which are supportive in nature to the essential functions of the job, but which may be altered or re-designed depending upon individual or departmental circumstances
  • Other duties as assigned
  • physical requirements:
  • Occasionally ascends/descends stairs to move through the different floors of the location
  • Occasionally positions self to accomplish tasks in various environments including tight and confined spaces
  • Must be able to remain in a stationary position more than two-thirds of the time
  • The person in this position needs to occasionally move about inside the office to accomplish tasks
  • Occasionally adjust or move objects up to 10 pounds in all directions
  • Frequently communicates with others to exchange information
  • Constantly moves wrists, hands, and/or fingers
  • Must be able to assess the accuracy, neatness, and thoroughness of the work assigned
  • No adverse environmental conditions expected
  • Sedentary work that primarily involves sitting/standing


Full-Time/Part-Time Full-Time  
Position Operations Manager- Brokerage  
Exempt/Non-Exempt Exempt  
Location Defiance Corporate  
About the Organization State Bank is a growing community bank headquartered in Defiance, Ohio with over 20 locations located in Ohio, Indiana, and Michigan. Founded in 1902, State Bank has built its success on client-centered, personal service and giving back to the communities it serves.

We offer a comprehensive benefits package which includes competitive compensation, quarterly incentive opportunities, paid vacation and PTO, paid holidays, 401(k) with company match, ESOP retirement plan, medical/dental/vision insurance, company-paid Life/AD&D/Short Term Disability/Long Term Disability insurance plans, community volunteer opportunities, and more!

Apply today to find out why State Bank is a great place to work!  
EOE Statement We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability status, protected veteran status or any other characteristic protected by law.  

This position is currently not accepting applications.

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