IRA Small Plans Manager

Janney Montgomery Scott LLC, 1717 Arch Street, Philadelphia, Pennsylvania, United States of America Req #765
Thursday, August 19, 2021
Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments.  We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.

This position oversees the IRA/Small Plans Operations Department and leads a team of five Operations Associates. The team works closely with Janney’s Core Operations division to support the asset movement and tax reporting process. The Department Manager will function as a contributing member of the Client Operations leadership team and work closely with other departments within Operations and across the firm as necessary.


  • Lead and manage a team of IRA/Small Plans Associates to achieve service goals/objectives. Specific supervisory tasks include but are not limited to:
    1. Provide work direction to associates and coordinate workflow within the team
    2. Interview, select and train new associates on Janney and policies and procedures and facilitate and support an open dialogue among the team
    3. Provide feedback to associates on an ongoing basis, both positive and developmental, to support their professional growth and career goals
  • Participate in strategic and operational decision-making related to IRA/Small Plans Operations including the development of short- and long-term goals to improve overall service to clients
  • Perform a variety of administrative duties that contribute to the overall efficiency, effectiveness and positive reputation of the Department
  • Review and interpret regulatory disclosure documents and investment statements to assess impact to IRA/Small Plans policies and procedures.
  • Ensure that policies and procedures are current and in compliance, and enable business continuity.
  • Proactively recommend innovations and modifications in line with industry requirements and corporate goals/objectives to improve operational processes, systems, policies and procedures
  • Organize/execute department projects on time and within budget that includes writing business requirements


  • 5+ years of related experience in the financial services industry with a strong track record of delivering a high level of service to clients
  • Two years of experience successfully leading/managing a team and providing an engaging, productive work environment strongly preferred
  • Bachelor’s Degree or equivalent experience in Financial Services Operations or the financial industry.
  • Series 99 or Series 7 required or obtained within 90 days of start date


  • Effective project management skills as evidenced by successful project implementations
  • Superior time management and organizational skills. Ability to manage multiple tasks, prioritize work and meet tight deadlines
  • Ability to work independently and creatively, and perform at a high level in a fast-paced, high pressure environment
  • Advanced expertise using Microsoft Office Applications
  • Effective oral, written and interpersonal skills
  • Capable of demonstrating and achieving Janney’s core values of delivering with integrity, being results driven, keeping people at the center, exceeding expectations and meeting the standards required of managers

Janney is dedicated to promoting and supporting diversity within our workplace.  We provide an environment that promotes respect, integrity, teamwork, achievement and acceptance regardless of age, disability, education, gender, gender expression, gender identity, job level, marital status, military status, national origin, parental status, pregnancy, race, religion, sexual orientation, socioeconomic status, or other protected factors. Janney is committed to equal employment opportunities and providing reasonable accommodations to applicants with physical and/or mental disabilities.

Other details

  • Pay Type Salary
  • Janney Montgomery Scott LLC, 1717 Arch Street, Philadelphia, Pennsylvania, United States of America