Manager, Brokerage Operations

  • Company: TIAA
  • Location: Charlotte, North Carolina
  • Posted: January 16, 2018
  • Reference ID: 1710497
Job Description



Since 1918, it has been TIAA’s mission to serve, our ability to perform and the values we embrace that make us a different kind of financial services organization. We’re dedicated to serving the financial needs of those in the academic, medical, cultural, governmental and research fields, and committed to helping make lifetime financial well-being possible for them.


By building a culture that allows all employees to contribute their unique talents and skills, we’re able to provide our customers with fresh ideas and distinct perspectives to help them achieve their goals.  We believe a diverse and inclusive workforce is one of our greatest strengths and a key measure of our success*.


For more information about TIAA, visit our website.



Job Title: Manager, Brokerage Operations

Location: Charlotte, NC

Series 7 & 63 required at the time of hire.


Series 24 required within 120 days of hire





The Brokerage Operations Manager is a part of our Brokerage Operations team and leads a team of individuals that support the fulfillment of client requests. As part of the Brokerage Operations team, the team manager will manage a team handling brokerage requests in a consistent, timely, and quality manner where the end result is customer satisfaction.    




• Lead and motivate a team to achieve target performance and quality goals that align with customer expectations.

• Provide regular feedback regarding performance as related to individual and team goals. 

• Provide and encourage participation in growth opportunities for team members.

• Be a visible leader within the unit through daily interactions, which include team meetings and one-on-one meetings. 

• Monitor and assess operating trends and recommend changes to senior management. 

• Review process approaches and identify continuous improvement projects that lead to a more efficient and streamlined operating environment.

• Contribute information and participate in decision-making process to forecast and manage budgets, volumes, and staffing plans. 

• Educate and operate the team in compliance with regulations, policies, and procedures as set forth by business unit and aligned with regulatory and corporate requirements.

• Perform daily supervising principal activity reviews to ensure processes are completed within policy and procedures.

• Interact with business partners and vendors to ensure customer requests are completed. 

• Hire, train, and supervise operational support team.









Basic Qualifications (Required):

• 3+ years previous financial operations management experience specifically in a broker-operations environment

• FINRA Licensing Series 7 is required at the time of hire.

• FINRA Licensing Series 63, 65, or 66 is required at the time of hire.

• Established understanding of the processes, policies, and regulatory obligations of a broker/dealer with emphasis in operations

• Previous experience with processing departments that utilize case management workflow with intelligent business rules and back-end process management to inform decision making

• Ability to understand workflow mechanisms to effectively lead a team to meeting performance goals

• Securities industry knowledge including security types, functional knowledge of markets, and movement of securities, cash, and other general securities market functionality

• Successful track record of leading teams that are committed to organizational goals

• Experience working with vendors that support correspondent clearing and managed accounts platforms

• Critical and analytical thinking skills -  ability to quickly recognize and decide the most effective course of action

• Demonstrated ability to adjust to multiple demands, shifting priorities, and rapid changes

• Demonstrated competence in identifying risk areas and proactively determining appropriate mitigation strategies

• Self-motivated with the ability to work independently and to take initiative to solve problems and to meet deadlines

• All Microsoft applications, particularly, VISIO, WORD,  ACCESS, PowerPoint, and Excel



Preferred Qualifications (Desired):

• Previous experience with Pershing, LLC is a plus

• Effective communication skills - conveys information clearly and effectively through formal and informal written documents in groups and as well as one-on-one settings

• Challenges the status quo, asserts own ideas, and persuades others to garner their support and commitment

• Ability to interface effectively with peers and all levels of management

• Results driven - conveys a sense of urgency and drives issues to closure, while addressing obstacles and opposition

Equal Employment Opportunity is not just the law, it’s our commitment. Read more about the Equal Employment Opportunity Law.

If you need assistance applying due to being visually or hearing impaired, please email Careers Help.

This organization is an equal employment opportunity (EEO) employer, dedicated to maintaining a work environment free of bias, harassment, discrimination and retaliation. As an EEO employer, this organization expressly prohibits discrimination, harassment, and retaliation on the basis of race, creed, ethnicity, color, age, religion, sex, sex stereotype, pregnancy (including childbirth, breastfeeding or related medical conditions where applicable), sexual orientation, gender, gender identity, gender expression, transgender, marital status, national origin, ancestry, physical or mental disability, requesting a reasonable accommodation based on mental or physical disability, medical condition (as defined by applicable law), genetic history and information, citizenship status, military or veteran status, or any other status protected by federal, state, or local law or ordinance or regulation (collectively referred to here as “protected characteristics”).

*©2016 Teachers Insurance and Annuity Association of America (TIAA), 730 Third Avenue, New York, NY 10017


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