Manager, Brokerage Operations Control
Manager, Brokerage Operations Control
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Salary Not Disclosed
1 Vacancy
Job Description
Manages all transaction processes and delivery of services; ensures that other retail operations are fulfilled for the bank.
Key Responsibilities and Duties
- Provides leadership coaching and process improvement initiatives that are necessary to improve the operational efficiency of all retail businesses.
- Implements structure to ensure a high delivery of service standards by automating centralizing eliminating and streamlining processes and procedures.
- Works closely with operations managers branch managers and internal auditors to develop a control strategy for all retail businesses.
- Ensures compliance with corporate and regulatory procedures (e.g. Know Your Customer AntiMoney Laundering Fraud Prevention etc.) by implementing and monitoring operational processes.
- 3 Years Required; 5 Years Preferred
- No Advanced Degree Required Preferred
- SRC Indicator: Series 7; Series 63; Series 24
- Physical Requirements: Sedentary Work
- No Advanced Degree Required
Career Level
7PL
Required:
- Series 7 63 and 24 completed within 120 days
Key Responsibilities and Duties:
- Lead Brokerage Quality Control team of individuals responsible for the review of Brokerage transactions and highrisk tasks to ensure highest quality standards are met.
- Controls development and risk management of a Brokerage Operations unit
- Responsible for all aspects of performance management coaching and mentoring 8 individuals
- Manages the daytoday oversight of the Quality Control program including reviewing team activity and defect overturns received from Brokerage Operations Unit.
- Serves as a subject matter expert regarding Quality Control team and Brokerage Operations processes.
- Provides input on Brokerage Process and CTQ creation to manage risk and exposure to the organization
- Promotes the adoption of a controls and compliance culture through training and consulting activities
- Drive the identification of emerging risks (both internal and external) that could have a negative impact on the business
- Build sound relationships across the enterprise to enable support and close alignment with firm risk appetite and business objectives
- Participate in problemsolving/continuous improvement efforts to improve quality standards
- Improving quality metrics that can be utilized by management team and individual operations employees
- Review customer complaints to identify quality related complaints
- Participate or Run project work as needed
- Stay Current on Pershing updates and changes that impact the team
Anticipated Posting End Date:
Base Pay Range: $75300/yr $106300/yrActual base salary may vary based upon but not limited to relevant experience time in role base salary of internal peers prior performance business sector and geographic location. In addition to base salary the competitive compensation package may include depending on the role participation in an incentive program linked to performance (for example annual discretionary incentive programs nonannual sales incentive plans or other nonannual incentive plans).
Company Overview
Every worker deserves a secure retirement. For more than 100 years TIAA has delivered it for millions of people. Founded to help educators retire with dignity today were a marketleading retirement company fueled by worldclass asset management. But were not just another legacy financial services firm. Were fighting harder than ever before for our clients and the many Americans who need us.
Benefits and Total Rewards
The organization is committed to making financial wellbeing possible for its clients and is equally committed to the wellbeing of our associates. Thats why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health wellness and work life offerings that can help you achieve and maintain your best possible physical emotional and financial wellbeing. To learn more about your benefits please review our Benefits Summary.
Equal Opportunity
We are an Equal Opportunity Employer. TIAA does not discriminate against any candidate or employee on the basis of age race color national origin sex religion veteran status disability sexual orientation gender identity or any other legally protected status.
Read more about your rights and view government notices here.
Accessibility Support
TIAA offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers including individuals with disabilities.
If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team:
Phone: (800)
Privacy Notices
For Applicants of TIAA Nuveen and Affiliates residing in US (other than California) click here.
For Applicants of TIAA Nuveen and Affiliates residing in California please click here.
ForApplicants of TIAA Global Capabilities click here.
For Applicants of Nuveen residing in Europe and APAC please click here.
Required Experience:
Manager
Employment Type
Full-Time
