Discount Brokerage Department Manager manages and leads a group of discount brokers responsible for the purchase and sale of securities for clients at discounted commissions. Develops marketing programs and strategies to increase profitability and enter new markets. Being a Discount Brokerage Department Manager monitors transactions for accuracy and ensures satisfactory customer service. May interact with the organization's full-service brokers as needed. Additionally, Discount Brokerage Department Manager ensures compliance with any applicable regulations. Requires a bachelor's degree in a related area. Requires NASD Series 7 license. Typically reports to a director. The Discount Brokerage Department 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. To be a Discount Brokerage Department Manager typically requires 3+ years of managerial experience. Capable of resolving escalated issues arising from operations and requiring coordination with other departments. (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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