Brokerage Operations Analyst

TIAA; Charlotte (NC); On-site; USD 60,000 - 80,000; Full time

Job summary

Join a forward-thinking company as an Operations Analyst, where you will play a crucial role in managing discretionary and self-directed accounts. This position offers a unique opportunity to engage with regulatory compliance and financial operations, ensuring the smooth opening and maintenance of accounts. The organization is dedicated to promoting financial well-being for clients and associates alike, providing a comprehensive rewards package that supports your physical, emotional, and financial health. If you are detail-oriented and possess strong communication skills, this role is perfect for you.

Benefits

Comprehensive Health Benefits

Retirement Program

Wellness Programs

Work-Life Balance Initiatives

Qualifications

• Understanding of regulatory/compliance policies in brokerage.
• Knowledge of financial impacts related to operations and trading.

Responsibilities

• Initiate money movement requests and process account openings.
• Communicate requirements for opening and maintaining accounts.

Skills

Adaptability

Collaboration

Communication

Conflict Management

Continuous Improvement Mindset

Critical Thinking

Detail-Oriented

Financial Risk Management

Prioritizes Effectively

Transaction Processing

Education

University Degree Preferred

Job description

The Operations Analyst is responsible for a variety of tasks associated with the opening, funding and on-going maintenance of discretionary managed, fee-based accounts, as well as self-directed accounts. Under limited supervision, this job understands the regulatory/compliance policies associated with the brokerage business and understands the financial impacts associated with operational and trading responsibilities.

Key Responsibilities and Duties

• Initiates money movement requests and/or processes account opening transactions.
• Deposits client funds into the correct account.
• Performs various account maintenance processing/updates as directed by supervisor.
• Communicates requirements to open, fund and maintain a TIAA brokerage/managed account.
• Completes brokerage operation activities in a timely manner and at established productivity levels.
• Understands the regulatory requirements to open and maintain a brokerage/managed account.

Educational Requirements

• University (Degree) Preferred

Work Experience

• No Experience Required

FINRA Registrations

• SRC Indicator: NRF

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
5IC
Related Skills Adaptability, Collaboration, Communication, Conflict Management, Continuous Improvement Mindset, Critical Thinking, Detail-Oriented, Financial Risk Management, Prioritizes Effectively, Transaction Processing

Anticipated Posting End Date:

2025-05-22 Base Pay Range: $21.15/hr - $31.35/hr

Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).

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Company Overview

Every worker deserves a secure retirement. For more than 100 years, TIAA has delivered it for millions of people. Founded to help educators retire with dignity, today weʼre a market-leading retirement company fueled by world-class asset management. But weʼre not just another legacy financial services firm. Weʼre fighting harder than ever before for our clients and the many Americans who need us.

Benefits and Total Rewards

The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That’s why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our Benefits Summary.

Equal Opportunity

We are an Equal Opportunity Employer. TIAA does not discriminate against any candidate or employee on the basis of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.

Read more about your rights and view government notices here.

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