Brokerage Operations Manager - Richmond, Virigina

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

Need Help? If you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility (accommodation requests only; other inquiries won't receive a response).

Regular or Temporary

Regular

Language Fluency

English (Required)

Work Shift

1st shift (United States of America)

Please review the following job description

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

Responsible for planning, coordination and supervision of department(s) within brokerage operations. Develop and maintain a full understanding of the products, services and technology related to department(s). Ensure optimum performance for department(s) by directing workflow, assessing needs, developing team members and providing overall leadership.

Essential Duties And Responsibilities

Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.

• 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.

Qualifications

Required Qualifications

The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

• 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.
• Financial Industry Regulatory Authority (FINRA) Series 99.

Preferred Qualifications

• 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. For more details on Truist’s generous benefit plans, please visit our Benefits site. 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.

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