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)
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.
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