Brokerage Manager

CornerStone Professional Placement; Fort Worth (TX); Hybrid; USD 77,000 - 95,000; Full time

Job summary

CornerStone Professional Placement in Fort Worth, TX is seeking an experienced Brokerage Operations Manager to oversee daily brokerage operations and drive efficiency in a hybrid work environment.

The ideal candidate will hold FINRA Series 7 and Series 24 licenses (Series 63 may be required), with 5+ years in financial services and leadership experience. Starting salary is $86,000 per year, with compensation based on experience.

Qualifications

• 5+ years of experience in financial services, preferably within brokerage operations.
• 2-3 years of experience supervising, coaching, and developing a small to mid-sized team.
• FINRA Series 7 license required.
• FINRA Series 24 license required within 120 days of employment.
• Series 63 license may be required depending on responsibilities.
• Bachelor's degree in Finance, Economics, Business Administration, or related field preferred; equivalent experience considered.
• Strong understanding of brokerage operations, regulatory requirements, risk management, and financial transaction processing.
• Excellent leadership, communication, analytical, and problem-solving skills.
• Proficiency in Microsoft Office Suite; familiarity with Agile and/or Lean methodologies.
• Ability to manage competing priorities, resolve complex issues, and thrive in a fast-paced, highly collaborative environment.

Responsibilities

• Lead, coach, and develop a team of brokerage operations professionals while ensuring productivity, quality, and regulatory compliance.
• Oversee daily brokerage operations, including time-sensitive financial transactions, escalated issues, exception management, and risk mitigation.
• Establish performance expectations, monitor team metrics, and drive accountability for individual and departmental goals.
• Identify and implement process improvements to streamline workflows, enhance efficiency, and improve the client and advisor experience.
• Collaborate with Compliance, Customer Service, Financial Services, Technology, and leadership teams to resolve operational challenges.
• Develop training initiatives, maintain operational procedures, and support strategic projects focused on innovation and continuous improvement.

Skills

Leadership

Communication

Analytical thinking

Problem-solving

Regulatory knowledge

Risk management

Financial operations

Education

Bachelor's degree in Finance, Economics, Business Administration, or related field

Tools

Microsoft Office Suite

Job description

Job Title: Brokerage Operations Manager
Location: Fort Worth, TX | Hybrid

CornerStone Professional Placement is seeking an experienced Brokerage Operations Manager for a direct-hire opportunity with a leading financial services organization in Fort Worth, TX. This leadership role will oversee daily brokerage operations, drive operational efficiency, ensure regulatory compliance, and lead a team of professionals dedicated to delivering exceptional service to financial advisors and clients. The ideal candidate will bring strong brokerage industry knowledge, proven leadership experience, and a passion for process improvement and operational excellence.

Responsibilities:

Lead, coach, and develop a team of brokerage operations professionals while ensuring productivity, quality, and regulatory compliance.

Oversee daily brokerage operations, including time-sensitive financial transactions, escalated issues, exception management, and risk mitigation.

Establish performance expectations, monitor team metrics, and drive accountability for individual and departmental goals.

Identify and implement process improvements to streamline workflows, enhance efficiency, and improve the client and advisor experience.

Collaborate with Compliance, Customer Service, Financial Services, Technology, and leadership teams to resolve operational challenges.

Develop training initiatives, maintain operational procedures, and support strategic projects focused on innovation and continuous improvement.

Requirements:

5+ years of experience in financial services, preferably within brokerage operations.

2-3 years of experience supervising, coaching, and developing a small to mid-sized team.

FINRA Series 7 license required.

FINRA Series 24 license required within 120 days of employment.

Series 63 license may be required depending on responsibilities.

Bachelor's degree in Finance, Economics, Business Administration, or related field preferred; equivalent experience considered.

Strong understanding of brokerage operations, regulatory requirements, risk management, and financial transaction processing.

Excellent leadership, communication, analytical, and problem-solving skills.

Proficiency in Microsoft Office Suite; familiarity with Agile and/or Lean methodologies.

Ability to manage competing priorities, resolve complex issues, and thrive in a fast-paced, highly collaborative environment.

Compensation and Benefits:

Employment Type: Direct Hire

Schedule: Hybrid Work Schedule

Location: Fort Worth, TX

Salary: Starting at $86,000 annually, with higher compensation based on experience

Benefits: Details to be provided