Brokerage Service Manager

Cfe Federal Credit Union • Lake Mary, FL

50d • Onsite

About The Position

We are Addition Financial, a member-owned, not-for-profit financial cooperative, offering comprehensive financial solutions that help members achieve their financial goals. Shareholder profits do not drive us and never have. Since 1937, we have been on a mission to bring financial success and education to everyone and make a positive impact in the lives of our members and the communities we serve. And we want your help to make that happen. We are looking for team members who not only want to do meaningful, challenging work, but who also have a heart for service. If

SUMMARY:

The Brokerage Services Manager is responsible for overseeing brokerage operations that support Addition Financial's Raymond James Financial Services (RJFS) investment program. This role ensures exceptional member experience, operational excellence, and strict compliance with Raymond James, FINRA, SEC, and NCUA requirements. The position provides leadership to brokerage services teammates and serves as the primary operational liaison between financial advisors, branch leadership, compliance partners, and Raymond James.

Requirements

• FINRA Series 7 and Series 66 (or Series 63/65), Life, Health, and Variable Annuity insurance licenses - required
• Minimum of 5-10 years of experience as a Financial Advisor, Investment Representative, or similar role within a brokerage, bank, credit union, or financial services environment.
• Experience interacting with FINRA, SEC and state securities divisions
• Proven success building and managing a book of business, including asset gathering, retention, and relationship deepening.
• Experience working within a broker-dealer framework, preferably on the Raymond James platform, including use of advisor technology, research tools, and advisory solutions.
• Strong history of collaboration with branch teams, relationship managers, compliance partners, and senior leadership to drive referrals and integrated financial solutions.
• Experience overseeing or supporting portfolio reviews, retirement planning discussions, and financial education seminars.
• Consistent track record of success in a highly regulated environment, with strict adherence to FINRA, SEC, Raymond James, and internal compliance standards.
• Primarily branch-based role, with travel between credit union locations as business needs require.
• Office-based environment with frequent interaction among advisors, branch leadership, compliance teams, Senior Management, and Raymond James partners.
• Schedule flexibility may be required during audits, regulatory reviews, examinations, or major program initiatives.
• Participation in occasional evening or weekend seminars for member events is required.
• Performance will be evaluated based on quality of advice, member outcomes, asset growth, advisor development, and compliance adherence.
• Member Satisfaction (KPI): Success will be measured using Net Promoter Score (NPS) to assess member satisfaction, loyalty, and overall advisory experience.
• Demonstrated ability to effectively manage time, prioritize tasks, and maintain strong organizational discipline.
• Strong verbal and written communication skills with the ability to communicate clearly and professionally.
• Professional appearance and demeanor appropriate for a regulated, member-facing financial services environment.
• Proficiency in Microsoft Office applications, including advanced working knowledge of Excel.
• Strong interpersonal and relationship-management skills, including tact, diplomacy, patience, and sound judgment when interacting with members, advisors, teammates, and external partners.
• Proven ability to handle confidential and sensitive information with discretion and integrity.
• Ability to work independently while also contributing effectively within a collaborative team environment.
• Demonstrated ability to read, interpret, and analyze a variety of documents and reports, including statistical and performance data.
• Commitment to continuous learning related to investment products, financial planning concepts, and applicable industry rules and regulations.
• The employee must occasionally lift and/or move up to 50 pounds.

Nice To Haves

• Bachelor's degree from a four-year college or university, or equivalent experience - preferred
• CFP® — Certified Financial Planner™, CRPC® — Chartered Retirement Planning Counselor℠ - preferred
• Preferred experience with Raymond James platforms and tools, including Goal Planning & Monitoring (GPM), Portfolio Select, eFolio®, Vault, TRITON, and Client Access.

Responsibilities

• Oversee daily brokerage service operations, including new account onboarding, account maintenance, asset transfers, trading support, suitability documentation, and transaction processing, in accordance with Raymond James policies and procedures.
• Ensure service delivery consistently meets Raymond James supervisory standards and the credit union's experience expectations.
• Identify, develop, and implement process improvements to enhance operational efficiency, accuracy, risk management, and scalability.
• Lead, coach, and develop brokerage services teammates to drive high performance, accountability, and regulatory compliance.
• Establish clear service-level standards, performance metrics, and quality expectations.
• Oversee onboarding, training, and ongoing education related to Raymond James platforms, products, procedures, and regulatory updates.
• Provide comprehensive operational support to Raymond James-affiliated Financial Advisors.
• Partner with branch leaders and retail teammates to support referrals, account servicing, and timely member follow-up.
• Serve as the escalation point for complex member service, advisor, or operational issues, ensuring timely resolution and clear communication.
• Ensure ongoing compliance with Raymond James supervisory procedures, FINRA and SEC regulations, and applicable NCUA requirements.
• Collaborate closely with the credit union's Compliance and Risk teams and Raymond James supervision partners to support audits, examinations, and supervisory reviews.
• Maintain accurate documentation, supervisory logs, internal controls, and required reporting.
• Serve as the primary operational liaison with Raymond James home office, operations, and supervision teams.
• Coordinate system enhancements, policy updates, and service improvements impacting brokerage operations.
• Monitor service performance and proactively resolve operational, service, or compliance issues in a timely and effective manner.
• Track, analyze, and report key service metrics, including volume trends, turnaround times, quality measures, and risk indicators.
• Use data and insights to identify improvement opportunities and proactively address capacity, service, or compliance risks.
• Provide leadership with actionable insights and recommendations to strengthen the member experience, advisor effectiveness, and operational performance.

Benefits

• 401k with matching contribution up to 6% of base salary
• Comprehensive medical, dental and vision coverage from leading insurance providers
• Continuing education and tuition reimbursement
• Generous vacation and sick pay
• Paid parental leave and volunteer time off
• Major holidays off including Federal holidays that many other industries do not observe
• Credit union benefits including reduced consumer/mortgage loan rates, free checks, and other financial services discounts

What This Job Offers

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