Manager, Brokerage Operations Control

Brokerage Services and Support
Manages all transaction processes and delivery of services; ensures that other retail operations are fulfilled for the bank.

Key Responsibilities and Duties

• Provides leadership, coaching, and process improvement initiatives that are necessary to improve the operational efficiency of all retail businesses.
• Implements structure to ensure a high delivery of service standards by automating, centralizing, eliminating, and streamlining processes and procedures.
• Works closely with operations managers, branch managers, and internal auditors to develop a control strategy for all retail businesses.
• Ensures compliance with corporate and regulatory procedures (e.g., Know Your Customer, Anti-Money Laundering, Fraud Prevention, etc.) by implementing and monitoring operational processes.

Qualifications

• 3 Years Required; 5 Years Preferred

• No Advanced Degree Required, Preferred

FINRA Registrations

• SRC Indicator: Series 7; Series 63; Series 24

Physical Requirements

• Physical Requirements: Sedentary Work

Preferred Education

• No Advanced Degree Required

Career Level
7PL

Required:

• Series 7, 63, and 24 completed within 120 days

Key Responsibilities and Duties:

• Lead Brokerage Quality Control team of individuals responsible for the review of Brokerage transactions and high-risk tasks to ensure highest quality standards are met.
• Controls development and risk management of a Brokerage Operations unit
• Responsible for all aspects of performance management, coaching, and mentoring 8+ individuals
• Manages the day-to-day oversight of the Quality Control program including reviewing team activity and defect overturns received from Brokerage Operations Unit.
• Serves as a subject matter expert regarding Quality Control team and Brokerage Operations processes. 
• Provides input on Brokerage Process and CTQ creation to manage risk and exposure to the organization
• Promotes the adoption of a controls and compliance culture through training and consulting activities
• Drive the identification of emerging risks (both internal and external) that could have a negative impact on the business
• Build sound relationships across the enterprise to enable support and close alignment with firm risk appetite and business objectives
• Participate in problem-solving/continuous improvement efforts to improve quality standards
• Improving quality metrics that can be utilized by management team and individual operations employees
• Review customer complaints to identify quality related complaints
• Participate or Run project work as needed
• Stay Current on Pershing updates and changes that impact the team

Related Skills

Adaptability, Collaboration, Communication, Conflict Management, Continuous Improvement Mindset, Critical Thinking, Detail-Oriented, Financial Risk Management, Prioritizes Effectively, Transaction Processing

Anticipated Posting End Date:

2025-03-19

Base Pay Range: $75,300/yr. - $106,300/yr.

Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location.  In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans). 

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Company Overview

Every worker deserves a secure retirement. For more than 100 years, TIAA has delivered it for millions of people. Founded to help educators retire with dignity, today weʼre a market-leading retirement company fueled by world-class asset management. But weʼre not just another legacy financial services firm. Weʼre fighting harder than ever before for our clients and the many Americans who need us.

Benefits and Total Rewards

The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That’s why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competi