Truist

Brokerage Operations Manager

Truist

full-time

Posted on:

Location Type: Office

Location: Richmond • North Carolina • Virginia • United States

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About the role

  • 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 years in a management position in the securities industry
  • Knowledge of advanced concepts, principles and practices of assigned functional area(s)
  • Strong leadership skills including 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, to be obtained during employment within 90 days
Benefits
  • Medical, dental, vision, life insurance
  • Disability, accidental death and dismemberment insurance
  • Tax-preferred savings accounts
  • 401k plan
  • At least 10 days of vacation
  • 10 sick days
  • Paid holidays
  • Potential for defined benefit pension plan
  • Restricted stock units and/or deferred compensation plan
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
brokerage operationsregulatory complianceoperational risk managementprocess improvementperformance managementteam performance evaluationadministrative managementconflict resolutiondecision makingproblem solving
Soft Skills
leadershipinterpersonal skillsorganizational skillsverbal communicationwritten communicationteam engagementcoachingmentoringclient-focused mindsetcollaboration
Certifications
Bachelor's degreeFINRA Series 99