Manager Brokerage Operations

Position Description:
The Manager Brokerage Operations will provide leadership and direction to Operations staff. Plan, organize and direct processing activities. Hire, train and Manage Operations staff. Monitor overall compliance with policies and procedures, create efficiencies and develop plans and implement process improvement. Responsible for ensuring departmental procedures are created and maintained. Ensure all Operations tasks are processed accurately and timely. Conduct performance management. Liaise with front office staff, compliance and other leaders, IT and our clearing firm as needed. Responsible for team project execution and delivery.

Principal Accountabilities:
Performance Management - Perform various personnel functions including recruiting, interviewing and hiring of department staff, and training oversight. Monitor and manage staff performance throughout the year. Perform coaching and counseling for direct reports. Conduct performance reviews and handle any disciplinary action as necessary. Conduct one on one meetings with direct reports on an ongoing basis. Conduct regular team meetings, keeping the group up to date on operational, regulatory and process changes.
Managing projects - Initiate, provide guidance and direction for operational projects through completion.
Problem escalation - Handle escalated issues timely, resolving complex operational and/or service issues. Communicate with our front office staff on issues.
Processing oversight - Responsible for ensuring daily processes are completed accurately and timely. Direct daily activities. Partner with our clearing firm on operational changes or issues.
Process improvement - Ongoing review of operational processes to streamline and increase overall efficiency.
Review processes with team members to vet potential areas of focus.
Compliance, Policy & Procedures - Ensure the P&P's are up to date and reviewed on a regular basis. Ensure Supervisory controls are maintained and available as needed for review with management, compliance and audit. Meet audit standards and successfully pass audits both internal and external.

Position Requirements:
Basic Qualifications:
Bachelor's Degree with a minimum of 6 years experience in Financial Services or brokerage operations including a minimum of 4 years in a supervisory role.
Associate's Degree with a minimum of 8 years experience in Financial Services or brokerage operations including a minimum of 4 years in a supervisory role.
High School Diploma or GED with a minimum of 12 years experience in Financial Services or brokerage operations including a minimum of 4 years in a supervisory role.

Additional Requirements:
Ability to lead, coach and motivate staff
Ability to identify and implement process efficiencies
Demonstrated ability to prioritize and handle multiple work efforts with varying degrees of difficulty
Change management skills with the ability to grow a highly efficient team.
Attention to detail
Strong time management and organizational skills.
Strong communication skills- Ability to interact effectively with key stakeholders and team members
Ability to build and maintain relationships.

Preferred Qualifications:
Possess valid Series 7, 66, and 24 licenses
Excellent verbal, written and interpersonal skills
Strong analytical skills
Ability to demonstrate self initiative as well as take direction and escalate issues as appropriate
Experienced in Microsoft Office applications, VISIO
Solid troubleshooting and resolution skills
Ability to adhere to compliance requirements


Meet Some of First Citizens Bank's Employees

Robert S.

Cyber Threat Engineer

Robert maintains the integrity of First Citizens Bank’s software systems by developing programs that protect the company’s assets from malware and cyber-attacks.

Kelly N.

Banking & Service Support Supervisor

When customers call the Contact Center, Kelly ensures they have a pleasant experience. She coaches agents on how to answer customer questions and steps in to assist agents with more complex issues.

Back to top