Discount Brokerage Operations Manager jobs in Orlando, FL

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)

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Compliance Manager, Brokerage
  • Robinhood
  • Lake, FL FULL_TIME
  • About the team role 

    The Compliance Programs team is primarily responsible for policy and procedure administration as well as the design, organization and documentation of the Brokerage Supervisory System. This function also serves as a central point for remediation requiring coordination and update to process ownership and/or supervisory procedures. The team designs and implements effective compliance programs to protect customers, promote market integrity, and reduce regulatory, financial, operational and reputation risk. 

    The Manager of Brokerage Compliance Policy and Programs should be familiar with an array of compliance subject areas such as policy and procedure governance, records management, GRC tools, monitoring and testing, controls and remediation.The role manages a team that focuses on the collection, analysis, and tracking of Brokerage policy and program documentation as well as maintenance and administration of the Firm’s Supervisory System. 

    The role is located in the office location(s) listed on this job description which will align with our in-office working environment. Please connect with your recruiter for more information regarding our in-office philosophy and expectations.

    What you’ll do

    • Manage a team of 3-5 individual contributors
    • Oversee the Firm’s Supervisory System responsive to FINRA Rules 3110, 3120 and 3130; ensuring that the Firm’s supervisory controls are operating as intended
    • Analysis, collection, maintenance and publication of Brokerage Compliance documentation including Written Supervisory Procedures (WSPs), Standard Operating Procedures (SOPs), Designation and Delegation Tables
    • Oversee the Firm’s Compliance calendar, track and manage progress and completion of the firm’s compliance obligations
    • Design and oversee Compliance reporting dashboards and related metrics
    • Support and maintain the Firm’s Regulatory Change processes
    • Oversee and design, where applicable, supervisory processes and Designated Principal ownership over the Firm’s business functions
    • Partner with Monitoring and Testing, Operational and Enterprise teams to track compliance testing findings from discovery to remediation
    • Oversee and support the Compliance team’s technology applications
    • Support Regulatory filings, exams, and inquiries
    • Perform other duties as assigned

    What you bring 

    • Passion for Robinhood’s products and our mission to democratize finance for all
    • Bachelor’s Degree in relevant field
    • 4 years Broker-Dealer experience
    • Passed the SIE and hold(s) active FINRA Series 7 and 24 licenses
    • Familiarity with a wide range of brokerage compliance subjects
    • Familiarity with on-line brokerage business
    • Experience with GRC tools; policy and procedure maintenance
    • Experience building and maintaining sophisticated reporting dashboards and trackers
    • Experience with Regulatory Change Management systems and processing
    • Strong organizational and prioritization skills
    • Excellent communication and relationship management skills
    • Comfortable creating and delivering reports and presentations to management
    • Motivation to be a self-starter with ability to work independently

    What we offer

    • Market competitive and pay equity-focused compensation structure
    • 100% paid health insurance for employees with 90% coverage for dependents
    • Annual lifestyle wallet for personal wellness, learning and development, and more! 
    • Lifetime maximum benefit for family forming and fertility benefits
    • Dedicated mental health support for employees and eligible dependents
    • Generous time away including company holidays, paid time off, sick time, parental leave, and more!
    • Lively office environment with catered meals, fully stocked kitchens, and geo-specific commuter benefits



  • 17 Days Ago

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General Manager
  • Drive-In Operations, LLC
  • Titusville, FL FULL_TIME
  • It’s the dream job you never have to wake up from. At SONIC, you’ll whistle while you work, gaining a sense of accomplishment along the way. You’ll interact with fantastic people, earn great pay, spor...
  • 8 Days Ago

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Assistant Manager
  • Drive-In Operations, LLC
  • Saint Cloud, FL FULL_TIME
  • There are two kinds of people in this world: SONIC employees and those who wish they were SONIC employees. This elite group gets to work with awesome people, earn great pay, and sport the cool uniform...
  • 9 Days Ago

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General Manager
  • Drive-In Operations, LLC
  • Longwood, FL FULL_TIME
  • It’s the dream job you never have to wake up from. At SONIC, you’ll whistle while you work, gaining a sense of accomplishment along the way. You’ll interact with fantastic people, earn great pay, spor...
  • 9 Days Ago

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Assistant Manager
  • Drive-In Operations, LLC
  • Titusville, FL FULL_TIME
  • There are two kinds of people in this world: SONIC employees and those who wish they were SONIC employees. This elite group gets to work with awesome people, earn great pay, and sport the cool uniform...
  • 9 Days Ago

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Assistant Manager
  • Drive-In Operations, LLC
  • Orlando, FL FULL_TIME
  • There are two kinds of people in this world: SONIC employees and those who wish they were SONIC employees. This elite group gets to work with awesome people, earn great pay, and sport the cool uniform...
  • 17 Days Ago

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0 Discount Brokerage Operations Manager jobs found in Orlando, FL area

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TOC Operations Manager
  • AtkinsRealis
  • Orlando, FL
  • Why join us? We are hiring! AtkinsRalis is seeking a Traffic Center Operations Manager to join our team. This position i...
  • 3/28/2024 12:00:00 AM

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Part-Time Operations Manager>
  • Buckle
  • Altamonte Springs, FL
  • Buckle - JobID: 5c411f28-1dcd-415e-bff3-caf9226b126a [ASM / Store Supervisor] As an Operations Manager at Buckle, you'll...
  • 3/28/2024 12:00:00 AM

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Site Operations Manager
  • Venu+
  • Orlando, FL
  • What We Do VENU+ is the global leader in turn-key revenue-share outsourced services, with a focus on guest mobility, sto...
  • 3/26/2024 12:00:00 AM

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Operations Manager - Aloft by Marriott
  • McKibbon Hospitality
  • Orlando, FL
  • What Makes a McKibbon Hotel Operations Manager? This is a hands-on hospitality leadership role where the Hotel Operation...
  • 3/26/2024 12:00:00 AM

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Operations Manager
  • Michaels Stores, Inc.
  • Ocoee, FL
  • Store - ORL-OCOEE, FL Lead the operational processes to deliver sales and profits while protecting our assets. Provide a...
  • 3/25/2024 12:00:00 AM

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Acute Operations Manager
  • Central Florida Inpatient Medicine
  • Orlando, FL
  • Job Description Job Description Role and Responsibilities Responsible for day-to-day operational support and process ove...
  • 3/25/2024 12:00:00 AM

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Bilingual Operations Manager
  • EDS Service Solutions
  • Orlando, FL
  • Job Description Job Description EDS Service Solutions' reputation and long-term client relationships are built through t...
  • 3/25/2024 12:00:00 AM

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TOC Operations Manager
  • AtkinsRealis
  • Deland, FL
  • Why join us? We are hiring! AtkinsRalis is seeking a Traffic Center Operations Manager to join our team. This position i...
  • 3/24/2024 12:00:00 AM

Orlando (/ɔːrˈlændoʊ/) is a city in the U.S. state of Florida and the county seat of Orange County. Located in Central Florida, it is the center of the Orlando metropolitan area, which had a population of 2,509,831, according to U.S. Census Bureau figures released in July 2017. These figures make it the 23rd-largest metropolitan area in the United States, the sixth-largest metropolitan area in the Southern United States, and the third-largest metropolitan area in Florida. As of 2015, Orlando had an estimated city-proper population of 280,257, making it the 73rd-largest city in the United State...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Discount Brokerage Operations Manager jobs
$67,774 to $136,812
Orlando, Florida area prices
were up 1.5% from a year ago

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