Brokerage Operations Leader

Truist; Richmond (VA); On-site; USD 87,000 - 105,000; Full time

Benefits offered by this job

Medical insurance

Dental & Vision

401(k) plan

Paid time off

Job summary

Truist is seeking a senior leader to oversee brokerage operations in our Richmond office, directing daily department activities and ensuring compliance with procedures. The role demands strong leadership, cross-functional collaboration, and data-driven process improvements.

You will drive operational excellence, mentor teams, and partner with audit and sales groups to optimize performance while mitigating risk. An on-site, regular shift requires a proactive, results-driven approach.

Qualifications

• Bachelor's degree or equivalent education, training and work-related experience.
• Minimum of three (3) years experience in brokerage operations, including 2 year in a management position in the securities industry.
• Knowledge of advanced concepts, principles and practices of assigned functional area(s).
• Strong leadership skills to include excellent interpersonal and conflict resolution skills.
• Ability to promote effective coordination between multiple work groups and functional areas.
• Strong organizational, verbal and written communication skills.
• Driven to achieve results, thrive in a fast paced environment and required to solve problems and make decisions based on sound judgement.
• FINRA Series 99.

Responsibilities

• Direct the day-to-day operation of department(s) of responsibility to ensure adherence with procedures.
• Manage inquiries from sales team and/or operational areas.
• Resolve issues and apply strong critical thinking and problem-solving skills to meet the demands of the business.
• Analyze metrics, identify trends/gaps and provide solutions to improve processes and increase efficiency in collaboration with service partners.
• Develop and make recommendations to identify, manage and mitigate operational and regulatory risk
• Work with audit teams (internal and external) and administer effective solutions to findings.
• Remain knowledgeable of current business strategies and contribute as a subject matter expert on regulatory, industry and organizational changes impacting department(s).
• Demonstrate initiative and commitment to continuous learning, and the ability to adapt to the changing demands of the business.
• Work across multiple projects simultaneously while meeting deliverables.
• Coach and mentor subordinates, identify training needs and approve development plans.
• Perform human resource management activities, including interviewing and selecting staff, evaluating performance and identifying performance problems and providing recommendations for remedial action.

Skills

Leadership

Strategic thinking

Communication (verbal/written)

Problem solving

Cross-functional coordination

Regulatory knowledge

Education

Bachelor's degree or equivalent

Tools

FINRA Series 99

Job description

Truist is seeking a senior leader to oversee brokerage operations in our Richmond office, directing daily department activities and ensuring compliance with procedures. The role demands strong leadership, cross-functional collaboration, and data-driven process improvements.

You will drive operational excellence, mentor teams, and partner with audit and sales groups to optimize performance while mitigating risk. An on-site, regular shift requires a proactive, results-driven approach.