Discount Brokerage Operations Manager oversees the daily operations of a discount brokerage. Ensures that brokerage operations adhere to the organization's financial and business strategies. Being a Discount Brokerage Operations Manager monitors the purchase and sale of securities for clients at discounted commissions. Ensures accuracy of transactions, oversees account maintenance, and acts as a liaison with the organization's full-service broker as needed. Additionally, Discount Brokerage Operations Manager ensures compliance with all relevant government regulations. Keeps abreast of market conditions. Requires NASD Series 7 license. Requires a bachelor's degree in a related area. Typically reports to a director. The Discount Brokerage Operations Manager typically manages through subordinate managers and professionals in larger groups of moderate complexity. Provides input to strategic decisions that affect the functional area of responsibility. May give input into developing the budget. Capable of resolving escalated issues arising from operations and requiring coordination with other departments. To be a Discount Brokerage Operations Manager typically requires 3+ years of managerial experience. (Copyright 2024 Salary.com)
Description
The VISION of PlayLV Gaming is to be the place to be Downtown and is supported by our MISSION a Downtown Icon committed to building lasting relationships, legendary service & classic gaming with a modern twist. The renaissance has begun, The Plaza Way!
Our guiding principles are:
Delivering on these promises requires amazing people. PlayLV Gaming takes pride in hiring an extremely talented, motivated, and diverse workforce that possesses the attitude and aptitude to work within a high-performance culture. Employees receive training, guidance, development, and leadership in order to effectively perform their responsibilities.
Position Summary: Responsible for assisting in maintaining daily operational Compliance for Plaza Hotel and Casino (anti-money laundering) AML Program and Regulatory reporting schedule. This will include FinCEN and internal/external audits and adherence to applicable law and regulations related to State and/or Federal requirements. Knowledge and experience with the drafting of internal control procedures is required.
Reporting and responsible for the day-to-day operation and direct supervision of designated activities within the Compliance department. Appropriately respond to and manage any escalated departmental concerns and guest and/or team member challenges.
Essential Functions and Responsibilities:
This job description in no way states or implies that these are the only duties to be performed by the employee in this position. It is not intended to give all the details or a step-by-step account of the way each procedure or task is performed. The incumbent is expected to perform other duties necessary for the effective operation of the department.
Requirements
Required:
PHYSICAL REQUIREMENTS:
CERTIFICATES, LICENSES, REGISTRATIONS:
Plaza is an Equal Opportunity Employer. In compliance with the Americans with Disabilities Act, Plaza will provide reasonable accommodations to qualified individuals with disabilities and encourages both prospective and current employees to discuss potential accommodations with the employer.
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