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Bank of the West Operations Supervisor (Licensed) - Wealth Management in Nebraska

Operations Supervisor (Licensed) - Wealth Management


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 plans and establishes operational objectives for a team, within a clearly defined job area of Wealth Management Operations such as New Accounts, Asset Movement and/or Service Center. Delivers operational results that have moderate impact on the achievement of departmental results. Assigns tasks to a team to achieve operational targets, service standards, etc. Responsible for making adjustments or recommended enhancements in systems and processes to solve problems or improve effectiveness of job area.

Essential Job Functions

  • Supervises an operations team which may be new accounts, asset movement or service center, or a combination of teams with primary responsibility for day-to-day operations of the team; managing team members, queue workload and escalations; Responsible for SOP and maintenance; Leading forms and workflow requirements/maintenance for client onboarding, and/or asset movement.

  • May be responsible to ensure all new account tasks are being completed accurately and per policy, within SLA as well as that the relevant systems (Appian, Pershing, etc.) are performing as intended. Does so in support and alignment with the organization’s larger strategic objectives. May include tasks, in general terms, the accurate and timely movement of assets between client accounts (can be internal or external accounts); and the accurate, timely and compliant disbursement of funds.

  • Generates and manages monthly supervision reports which may focus on: New account opening accuracy; Account updates including, but not limited to client maintenance and address changes; Statement/Confirm review; Risk based reports to catch exceptions; Funds Disbursement, Direct Trade, Vault Count, Checks received; Securities received; call data analytics.

  • Acts as main point of escalation for all tasks related to the BWIS team for which they manage/supervise. This includes engaging with the field, sales as well as executive management; Significant roll-up your sleeves engagement/research on complex problems and client issues which may require ensuring immediate resolution.

  • May Liaises / acts as point of contact with the Development / Information Technology team to address issues related to the use of Apian and Pershing or other systems; responsible for articulating business requirements on behalf of BWIS.

  • Ensures that team processes are in alignment with all 2LOD functions: BSA/AML, risk, compliance, legal. This will be accomplished through leadership, subject matter expertise, deep technical understanding of the rules and regulations and process, and consistent participation in relevant forums and meetings, often cross-functional in nature.

  • May assist significantly ( and at times “owns”) in the development and roll-out of training operational and client –facing staff on use of front-end /relevant tool(s) for business and applicable system (Appian and Pershing, for example).

  • Leverages Appian and/or other metrics to understand / analyze the Operations Team’s performance against key metrics: cycle time, SLA adherence and/or First Call Resolution. Uses this data to identify “defects” and perform root cause analysis; Owns / is responsible for the effective identification of root causes for ‘defect’ types and subsequent mitigation plan; Will use this data to “coach” Ops Team’s performance.

Other Job Duties

  • Responsible for reporting key metrics (quantitative and qualitative) to appropriate levels of management. May be responsible for reporting of quarterly bonus information for team members, including the management of call review, benchmarking and coaching.

  • Responsible for the recruitment, development, coaching, counseling, discipline, writing and administering of performance reviews in a timely manner and retention of assigned team members.

  • Performs other duties as assigned.


Work Experience

  • 5-7 years minimum prior relevant experience - Understands basic management approaches such as work scheduling, prioritizing, coaching and process execution. Typically requires broad job knowledge of technical or operational practices within assigned discipline.

Licenses & Certifications

  • FINRA Series 7,24, 66 (or 63 & 65) and State Insurance License


  • Monitor and assign workload among team members to assure optimal utilization of available resources.

  • Demonstrated ability to use Microsoft Office Suite products (Word, Excel, PowerPoint) for completing daily work: Strong knowledge of Appian/TouchPoint/Host/Pershing and other computer systems.

  • Demonstrated knowledge of brokerage/investment advisory services such as Clearance, Settlement & Trading, Funds Accounting, Stock transfer, Fees & Accruals, Account/Cash processing, client reporting, Business Analysis, Operational Risk and Custody Functions as would be gained from working within a brokerage and/or financial institution.

  • May have contact with trade/industry associates or regulatory bodies through industry sub-committees; however would not be the lead contact in most cases.

  • Excellent communication skills both writing and oral; Ability to make presentations to diverse audiences and provide training on technical subjects as needed.

  • Complete knowledge of the products, policies and processes related to unit supervised/managed.

  • Knowledge and ability to spot red flags in processing transactions, working knowledge of CDD and KYC programs and policies.

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.

Annual Hiring Range/Hourly Rate:

$49,920 - $130,000

Actual compensation offer to candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level. The pay ratio between base pay and target incentive (if applicable) will be finalized at offer.

Job: Investment

Location: United States-Nebraska

Other Locations: United States-California, United States-Arizona, United States-Colorado

Requisition ID: 058338