Ally Manager, Operations in Charlotte, North Carolina

Position Description

This Manager of Brokerage Operations will manage, supervise and perform various functions to help process and support our firms' staff and clients. The position will be engaged in a variety of daily tasks including cashiering and funds movement, new accounts, ACAT's, CIP and other various back office brokerage functions. Responsible to ensure accurate record keeping by following established procedures. The scope of expertise will run the full spectrum of overseeing brokerage accounts and mentoring/training employees. This role will be responsible for approving specific new accounts and account maintenance documents for completeness, accuracy for the activity being documented. This role will work closely with Compliance to assist that department on special projects as well as providing input for quality improvements and is required to have excellent organization skills and ability to work in a fast paced, multi-tasked high pressure, securities market environment. Direct interaction with clients, other brokers and internal support staff will be a part of the candidate's everyday routine.

Job Responsibilities

  • Support the Director of Operations and Client Services with strategic direction of various operational projects

  • Manage, supervise and perform a variety of operations functions following pre-established supervisory procedures

  • Provide assistance to clients and trading and client service representatives based on escalated issues

  • Provides quality service and effective and efficient operations support the assigned area's internal business partners and/or external customers and clients

  • Work closely with departments to expedite requests and log instances of operational issues to resolution

  • Field and respond to clients inquiries and issues via phone calls, emails, and faxes and with the highest level of customer service and integrity

  • Prioritize multiple functions based on client and firms needs

  • Ensure accurate record keeping in order to keep the firm compliant

  • Remain current on internal work processes, procedures, and product knowledge

  • Provide mentoring or guidance for team members through coaching and guidance

  • Monitor and supervise representatives in real time and assist with problem resolution

  • Identify areas to improve operational efficiencies and product enhancements

  • Understand, comply, maintain and reinforce regulatory and firms policies and procedure/guidelines

  • Ability to work with brokerage desktop applications

  • Other duties as assigned or required

  • Must be able to work overtime if required on short notice

  • Proven expertise and in Microsoft Desktop Operations systems (Windows 7, WindowsXP, Apple Mac OS X).

  • Expert in desktop trading tools

  • Working Conditions:

  • The job requires focused visual concentration in deciphering data and other information from computer.


  • Knowledge:

  • FINRA Series 7, 63, 4, 24 licenses preferred

  • Ability to communicate effectively over the telephone/email and establish credibility and trust with a variety of clients

  • 5+ years of prior investment or back office operations related experience

  • Strong understanding and exposure to financial service/trading industry

  • Strong understanding of trading platforms

  • Experience with Microsoft Office Suite (Word, Excel, Outlook, Power Point) and Internet

  • Skills:

  • Solid relationship building and ability to deal with internal/external resources

  • Able to work independently and with a team to handle all issues while working under strict time constraints

  • Able to work in high-pressure environment with strict SLA's and deadlines

  • Detail and results oriented and able to prioritize tasks in a multi-task environment

  • Experience in leveraging organizational skills to support client needs, focusing on execution, accuracy and efficiency

  • Strong communicator who can effectively process constructive feedback while always keeping the corporate and end user goals in mind

  • Excellent oral and written communication with strong emphasis on grammar and strong desire to provide an exceptional customer experience

  • Able to exercise independent thought and judgment and adapt to new tasks with little notice

  • Must be confident and highly credible via e-chats, email, over the phone and in person

  • Minimum 5+ years in client related support in the financial services or brokerage retail environment or related industry

  • Strong interpersonal skills are required

  • Knowledge or experience working in financial services and/or other regulated environment is a plus

  • Bachelor's Degree or equivalent business experience

Ally Overview

Ally Financial Inc. (NYSE: ALLY) is a leading digital financial services company and a top 25 U.S. financial holding company offering financial products for consumers, businesses, automotive dealers and corporate clients. Ally's legacy dates back to 1919, and the company was redesigned in 2009 with a distinctive brand, innovative approach and relentless focus on its customers. Ally has an award-winning online bank (member FDIC), one of the largest full service auto finance operations in the country, a complementary auto-focused insurance business, a growing digital wealth management and online brokerage platform, and a trusted corporate finance business offering capital for equity sponsors and middle-market companies.

Business Unit/Enterprise Function

Ally Invest, launched in May 2017, is the brokerage and wealth management offering from Ally. The offerings consist of a trading platform for self-directed investors, as well as a suite of automatically managed investment portfolios. The Ally Invest team is responsible for ensuring the technology and service of the platform with a focus on award winning customer service and outstanding user experience.

Total Rewards Information

Ally's compensation program offers market-competitive base pay and bonus pay potential based on achieving personal and company goals. Plus, we have a flexible paid time-off program with an emphasis on work-life balance.

Ally offers a variety of benefits to protect your health and well-being, provide financial security and balance your work-life needs including:

  • Industry-leading 401K Retirement Savings Plan including Matching and Company Contributions

  • Comprehensive wellness program with financial incentives designed to help you achieve your best health

  • Flexible health insurance options including dental and vision

  • Pre-tax Health Savings Account with generous employer contributions

  • Pre-tax dependent care and commuter benefits

  • Other work-life integration benefits including Paid Parental & Caregiver Leave, Adoption Assistance, Back-up Child & Adult/Elder Care, Child Care Discounts, Tuition Reimbursement, LifeMatters Employee Assistance Program, Weight Watchers and other employee discount programs

Ally is an Equal Opportunity Employer

We extend equal employment opportunities to qualified applicants and employees on an equal basis regardless of an individual's age, race, color, sex, religion, national origin, disability, sexual orientation, gender identity or expression, pregnancy status, marital status, military or veteran status, genetic disposition or any other reason protected by law.

Job Title: Manager, Operations

Company: Ally Financial Inc.

Category: Portfolio Management

BU Function: TradeKing

Requisition ID: 17-5986