Brokerage Operations Manager - Richmond VA or Charlotte NC

Truist Bank • Charlotte, VA

1d • Onsite

About The Position

This is an in office position. Location options are Richmond, Virigina or Charlotte, North Carolina.

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.
Key Responsibilities
Oversee daily operation of department tasks, monitor adherence to service level agreements, address escalations, and resolve issues promptly.
Monitor work quality for accuracy and conformance to procedures, controls, and risk tolerance ensuring regulatory compliance. Identify and remediate operational errors and hold team members accountable for quality and efficiency.
Provide solutions to improve processes and increase efficiency, including idea generation, planning, partnering with IT and other stakeholders through execution.
Cultivate and inspire the team’s alignment with the organization’s purpose, mission, and values.
Identify, assess, and mitigate operational risks; implement new controls as necessary.
Lead the team to implement departmental changes in response to evolving business needs while maintaining compliance and operational continuity.
Drive a client-focused mindset, ensuring decisions and processes support excellent client driven experience.
Lead, coordinate, and integrate contingent workforce teams as needed.
Engage with strategic vendor partners and internal/external stakeholders to support operational goals.
Coach, mentor, and develop team members to support career growth and enhance team engagement.
Manage administrative aspects of team performance, including scheduling, time approvals, performance reviews, goal setting, teammate onboarding/offboarding, and completion of required training.

Requirements

• 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. This can be obtained during employment within 90 days.

Nice To Haves

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

Responsibilities

• Oversee daily operation of department tasks, monitor adherence to service level agreements, address escalations, and resolve issues promptly.
• Monitor work quality for accuracy and conformance to procedures, controls, and risk tolerance ensuring regulatory compliance. Identify and remediate operational errors and hold team members accountable for quality and efficiency.
• Provide solutions to improve processes and increase efficiency, including idea generation, planning, partnering with IT and other stakeholders through execution.
• Cultivate and inspire the team’s alignment with the organization’s purpose, mission, and values.
• Identify, assess, and mitigate operational risks; implement new controls as necessary.
• Lead the team to implement departmental changes in response to evolving business needs while maintaining compliance and operational continuity.
• Drive a client-focused mindset, ensuring decisions and processes support excellent client driven experience.
• Lead, coordinate, and integrate contingent workforce teams as needed.
• Engage with strategic vendor partners and internal/external stakeholders to support operational goals.
• Coach, mentor, and develop team members to support career growth and enhance team engagement.
• Manage administrative aspects of team performance, including scheduling, time approvals, performance reviews, goal setting, teammate onboarding/offboarding, and completion of required training.

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager