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)
Job Summary:
Responsible for determining the validity of quality functions and/or processes throughout the support functions – Customer Service, IT, Purchasing and PPIC. Maintains the support functions’ Quality Program and accompanying documentation to appropriate standards.
Essential Duties and Responsibilities:
Minimum Education and/or Experience Requirements:
Four-year college degree or equivalent to college degree with 7 - 10 years of experience in quality administration.
Number of Direct Reports: 1-2
Job Titles of Direct Reports: Quality Technician
Skills and Abilities:
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
Certificates, Licenses, and Registrations:
Must possess a valid driver’s license for business travel, such as, customer visits, to attend required meeting, seminars, etc. Must be ASNT certified as Level III in at least the Ultrasonic method or readily trainable to achieve this certification.
Work Environment:
The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
While performing the duties of this job, the employee is occasionally exposed to moving mechanical parts. The noise level in the work environment is usually moderate. Enters manufacturing area of plant where noise level is high.
Physical Demands:
The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
While performing the duties of this job, the employee is regularly required to stand; walk; use hands to finger, handle, or feel; reach with hands and arms; and talk or hear. The employee frequently is required to sit. The employee is occasionally required to climb or balance and stoop, kneel or crouch. The employee must occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision, distance vision, color vision, peripheral vision, depth perception, and ability to adjust focus.
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