Brokerage Operations Lead: Settlement, Risk & Compliance

TIAA; Charlotte (NC); On-site; USD 77,000 - 122,000; Full time

Job summary

TIAA is seeking a Brokerage Operations Manager to supervise clearance, settlement, and reconciliation of trades across desks. You will lead a multi-site team and work closely with traders, finance, compliance, brokers, custodians, and customers to ensure timely settlements and accurate books.

The role requires 5+ years broker-dealer experience, with 7+ preferred, Series 7/63/24, and a university degree. You will drive risk controls, improve processes, and oversee performance management and

Qualifications

• 5+ years of broker-dealer experience.
• Experience in a trading/brokerage environment.
• Leadership and people-management experience.
• Knowledge of regulatory requirements and risk controls.

Responsibilities

• Lead multi-site Brokerage Operations team.
• Oversee clearance, settlement, and reconciliation of trades.
• Mitigate risk related to late settlements and buy-ins.
• Drive process improvements to enhance quality and efficiency.
• Collaborate with traders, finance, compliance, brokers, custodians, and clients.

Skills

Brokerage ops experience

Leadership

Regulatory knowledge

Education

University degree

Tools

Pershing system

Job description

TIAA is seeking a Brokerage Operations Manager to supervise clearance, settlement, and reconciliation of trades across desks. You will lead a multi-site team and work closely with traders, finance, compliance, brokers, custodians, and customers to ensure timely settlements and accurate books.

The role requires 5+ years broker-dealer experience, with 7+ preferred, Series 7/63/24, and a university degree. You will drive risk controls, improve processes, and oversee performance management and