Cary Street Partners Work Values

Daily Duties at Cary Street Partners:

• Reports directly to the Chief Compliance Officer and Director of Operations and responsible for various centralized Wealth Management support functions including, but not limited to, serving as a liaison between the branches and the firm to monitor and assist with branch operational issues and initiatives. • Oversees three branches consisting of 8 Financial Advisors and two Operations Mangers. Also responsible for supervising six Operations Managers reporting directly to myself. • Works effectively across departmental and organizational boundaries to monitor and communicate branch system issues and initiatives. Tasks include approving transactions conducted on any of Cary Street Partners’ six custodian platforms, providing backup to branches related to the approval and review of branch incoming mail, faxed correspondence, trade review, new account approval, asset movement transactions, and other material requiring approval by a Series 9/10 licensed individual. Acts in a similar role, as branch manager, for small branch offices that do not require an on-site Principal. • Contributes to branch training efforts by developing written supervisory policies and procedures, as required by FINRA. • Provides transition support to new branch associates and ongoing support to existing branch associates as necessary. • Acts as firm and branch advocate in dealing with home office, clearing firms, vendors, product and service providers. Resolves escalated branch operational matters as needed, providing appropriate guidance to branch associates.

What they like about Cary Street Partners:

Organizations with strong, centralized leadership are particularly attractive to you. You require a work environment with leadership that aggressively seeks to expand and grow the business and does so in a visible and decisive manner. In general you prefer to work in an environment in which there is a strong link between leadership, its actions, and a strong set of company-wide values.

Tags

Management, Sarbanes Oxley, Complaints, Policies and Procedures, Audit, Call Center, Documentation, Operating Systems, Risk Management, Manager, Compliance, Operations, Finance, Broker/Dealer, Registered Investment Advisor, Branch Manager, Operations Manager, Communication, Escalations, Anti-Money Laundering

Skills

Team Leadership, Problem Solving, Project Planning, Audit, Maintaining Policy & Procedure, Risk Management, Experienced Trainer, Resolving Escalated Issues, Anti-Money Laundering, Customer Service, Prompt Response & Resolution, Thorough Follow-Up, Productivity

These are some of the questions we asked our climbers about their experiences with Cary Street Partners: