Strategic Brokerage Operations Leader

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

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.