Brokerage Operations Manager - Richmond, Virigina

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

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

401k plan

Paid vacation

Paid holidays

Disability insurance

Employee stock plan

Job summary

Truist Wealth in Richmond, VA is seeking an experienced operations leader to direct day-to-day department activities, manage inquiries, and drive process improvements in a regulated brokerage environment.

The role requires a bachelor’s degree, 3+ years in brokerage ops with management, and FINRA Series 99. Strong leadership, coordination across teams, and excellent communication are essential for success.

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

Communication skills

Problem solving

FINRA Series 99

Education

Bachelor's degree or equivalent

Job description

The position is described below.

Please review the following job description:

ESSENTIAL DUTIES AND RESPONSIBILITIES

1. 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.
2. Resolve issues and apply strong critical thinking and problem-solving skills to meet the demands of the business.
3. Analyze metrics, identify trends/gaps and provide solutions to improve processes and increase efficiency in collaboration with service partners.
4. Develop and make recommendations to identify, manage and mitigate operational and regulatory risk
5. Work with audit teams (internal and external) and administer effective solutions to findings.
6. Remain knowledgeable of current business strategies and contribute as a subject matter expert on regulatory, industry and organizational changes impacting department(s).
7. Demonstrate initiative and commitment to continuous learning, and the ability to adapt to the changing demands of the business.
8. Work across multiple projects simultaneously while meeting deliverables.
9. Coach and mentor subordinates, identify training needs and approve development plans.
10. Perform human resource management activities, including interviewing and selecting staff, evaluating performance and identifying performance problems and providing recommendations for remedial action.

QUALIFICATIONS

Required Qualifications:

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

Preferred Qualifications:

1. Financial Industry Regulatory Authority (FINRA) Series 7 and 24 or 6 and 26.

The annual base salary for this position is $86,500.00 - $105,000.00.

GENERAL DESCRIPTION OF AVAILABLE BENEFITS FOR ELIGIBLE EMPLOYEES OF TRUIST FINANCIAL CORPORATION

• All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position.
• Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates.
• Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays.
• Depending on the position and division, this job may also be eligible for Truist’s defined benefit pension plan, restricted stock units, and/or a deferred compensation plan.
• As you advance through the hiring process, you will also learn more about the specific benefits available for any non-temporary position for which you apply, based on full-time or part-time status, position, and division of work.
• Truist is an Equal Opportunity Employer that does not discriminate on the basis of race, gender, color, religion, citizenship or national origin, age, sexual orientation, gender identity, disability, veteran status, or other classification protected by law.
• Truist is a Drug Free Workplace.
• EEO is the Law E-Verify IER Right to Work About Truist.
• Truist is a purpose-driven financial services company, formed by the historic merger of equals of BB&T and SunTrust.
• We serve clients in a number of high-growth markets in the country, offering a wide range of financial services.
• At Truist, our purpose is to inspire and build better lives and communities.
• That happens through real care to make things better.
• To meet client needs, to empower teammates, and to lift up communities.
• Learn more about Truist on truist.com.

OTHER INFORMATION

Regular or Temporary: Regular Language Fluency: English (Required) Work Shift: 1st shift (United States of America)

This is an in-office position located at 1001 Semmes Avenue, Richmond, Virginia.