Senior Brokerage Operations Manager

First Citizens Bank Raleigh , NC 27611

Posted 1 week ago

Position Description:

The Senior Brokerage Operations Manager will manage, supervise, and be accountable for all brokerage operations of First Citizens Investor Services (FCIS). Create, implement, and maintain policies, procedures, and processes designed for efficient and effective daily operations in compliance with applicable industry rules and regulations, as well as FCIS and Bank policies, procedures, and standards.

Principal Accountabilities:

Operational Integrity & Risk Mitigation: Create, implement, and maintain operational policies, procedures, process and internal controls to support FCIS strategy and the achievement of Wealth Management business goals.

Drives operational effectiveness and efficiency while ensuring compliance with applicable industry rules and regulations, as well as with FCIS and Bank policies, procedures, and standards. Maintain up-to-date operational policies and procedures. Acts as primary point of contact for all operations-related matters, including internal and FINRA audits.

Stay current on brokerage-related operational topics, issues, industry changes and technology. Ensure compliance of all operational policies, procedures, processes and internal controls. Manage and drive Operational Risk framework within Brokerage Operations. Foster culture of control and accountability.

Leadership: Provide leadership for the brokerage operations team.

Ensure continual training within team and drive performance management. Communicate operational policy and procedural changes, Wealth Management and FCIS business strategy, and other relevant information to the operations team. Conduct department meetings on a regular basis to support employee engagement; reinforce operational policies and procedures, and internal controls; and ensure all team members have a line of sight to the business strategy and FCIS initiatives.

Collaboration/Teamwork: Work closely and collaborate with FCIS leadership, sales management, and Compliance to support business strategy and ensure goals are achieved. Acts as an agent for change with FCIS and brokerage operations.

Projects/Initiatives: Initiate and manage technology-related and other WM and FCIS initiatives to support business and departmental goals. Serve as the liaison between brokerage operations and other business units.

Position Requirements:

Basic Qualifications:

Bachelor's degree, with a minimum of 10 years experience in securities or brokerage operations including a minimum of 6 years in a supervisory or leadership role.

  • Or -

High school diploma or GED with a minimum of 14 years experience in securities or brokerage operations, including a minimum of 6 years in a supervisory or leadership role.

Additional Requirements:

Possess valid Series 7, 63, 24, 65/66, 53, 27, 28 and State specific Life and Health Insurance licenses.

Merger and system integration experience.

Data interface understanding and experience.

General knowledge of bond, equity, and option markets.

Ability to communicate effectively across all levels of the organizational structure

Collaborative / team-oriented.

Analytical / problem resolution skills.

Ability to prioritize / manage and lead multiple work efforts.

Proven ability to develop and originate new methods, processes, programs, techniques, and procedures for Brokerage Operations.

Thorough knowledge of Brokerage Operational laws and regulations governing the operational procedures and processes of FCIS.

Thorough knowledge of, and ability to implement, the internal controls necessary to ensure the accurate processing.

Proven skills in leadership, collaboration, coaching, motivating, and guiding others to willingly achieve desired results.

Brokerage Operations Management experience.



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