TIAA Sr Analyst, Brokerage Operations - (Must have Broker Dealer Experience) in Charlotte, North Carolina



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Position: Sr. Analyst, Brokerage Operations (Broker Dealer Experience is a must)

Location: Charlotte, NC Only


The Sr. Analysts for Brokerage Service and Support assists the manager in leading a team of individuals that support clients. They support the day-to-day operations for Brokerage Operations for a large introducing broker-dealer. Daily operations include new account opening, account funding/cash management and maintenance of accounts. Business model includes both discretionary managed and self-directed brokerage accounts.


• Provide leadership to the team by being a subject matter expert on policies & procedures, processing steps and best practices.

• Coaching and mentoring team members on an informal basis.

• Provide QC support on the team

• Provides new hire training and updates the BSS Learning Portal.

• Make decisions on exception processing requests

• Monitor and assess operating trends and recommends changes to management.

• Provides input into process operational or process integration, such as; regulatory, new product, product enhancement.

• Participation in daily huddles or team meetings, and conducting the meetings in the manager’s absence.

• Participate in process improvement utilizing continuous improvement methodology.

• Provide support to manager for review of daily metrics to ensure proper resource allocation or to make resource allocation decisions in the manager’s absence.

• Assist at leading the department in compliance with regulations, policies, and procedures as set forth by FINRA, SEC, OCC and corporate requirements.

• Interactions with Pershing to ensure timely and accurate completion of requests and review of all Pershing notifications to understand impact to the business.

• Assists Business Management team with User Acceptance Testing.

• Work with COE to integrate new work into production units as BAU

• Reviews, understands and communicates controls that ensure regulatory obligations are met.



Basic Qualifications (Required):

• 2 years financial operations experience, specifically in a broker-dealer

• FINRA Licensing Series 7 and 63 required

• Previous experience with processing departments, which receive/collect information, data and client instructions

• Securities industry knowledge; including security types, functional knowledge of markets and movement of securities, cash and other general securities market functionality

• Experience working with vendors that support correspondent clearing and managed accounts platforms.

• Advanced Microsoft Office skills, particularly Excel, are required

Preferred Qualifications (Desired):

• Series 24 a plus.

• Previous experience with Pershing, LLC and NetX360 is a plus

• Emerging leader with potential for leading teams that are committed to organizational goals

• Emerging competence at identifying risk areas and proactively determining appropriate mitigation strategies

• Strong communication skills: ability to speak and write effectively and foster open communication with staff, as well as internal and external clients

• Ability to adjust to multiple demands, shifting priorities and rapid change

• Self-motivated with the ability to work independently and to take initiative to solve problems and to meet deadlines

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This organization is an equal employment opportunity (EEO) employer, dedicated to maintaining a work environment free of bias, harassment, discrimination and retaliation. As an EEO employer, this organization expressly prohibits discrimination, harassment, and retaliation on the basis of race, creed, ethnicity, color, age, religion, sex, sex stereotype, pregnancy (including childbirth, breastfeeding or related medical conditions where applicable), sexual orientation, gender, gender identity, gender expression, transgender, marital status, national origin, ancestry, physical or mental disability, requesting a reasonable accommodation based on mental or physical disability, medical condition (as defined by applicable law), genetic history and information, citizenship status, military or veteran status, or any other status protected by federal, state, or local law or ordinance or regulation (collectively referred to here as “protected characteristics”).

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Job: Operations

Primary Location: NC-Charlotte

Req ID: 1710372