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TIAA Director Brokerage Operations in CHARLOTTE, North Carolina

COMPANY OVERVIEW:

TIAA is a unique financial partner. With an award-winning track record for consistent performance, TIAA is the leading provider of financial services in the academic, research, medical, cultural and government fields. TIAA has $1 trillion in assets under management (as of 9/30/2018) and offers a wide range of financial solutions, including investing, banking, advice and guidance, and retirement services.

For more information about TIAA,.

POSITION SUMMARY:

The Director will lead multiple teams who provide operational support to TIAA Brokerage clients. The group also supports a wide network of advisors and support staff. The right candidate will possess strong leadership skills and organizational knowledge that results in a high performing team that is focused on our clients and delivering excellence through timely, accurate and efficient processes.

KEY RESPONSIBILITIES AND DUTIES:

  • Daily leadership of keybrokerage processes including account opening, transfers, money movementand maintenance.

  • Maintain an understanding ofTIAA Brokerage Services policies and procedures and a thoroughunderstanding of brokerage products.

  • Build and maintain a highquality, effective and professional relationship with advisoryprofessionals, clearing firm and internal business units.

  • Possess up-to-datebroker/dealer regulatory knowledge, including, but not limited to FINRA, SEC,and MSRB applicable rules. .

  • Understand and utilizeperformance metrics and trends to align processes, people and set goals tomeet customer needs.

  • Leverage performance managementto identify and drive continuous learning and development.

  • Drive and support the ongoingdevelopment of policies, procedures and quality assessments that enhancethe department.

  • Ability to apply industryknowledge and a systematic methodology to quickly determine risk levelsand make decisions.

  • Helps others adapt and thrive inever changing environments.

QUALIFICATIONS:

RequiredQualifications:

  • Must be able to obtain Series7, 63, and 24 within 6 months of hire

  • Minimum of 8years of Financial Services Brokerage Operations experience

  • Minimum of 8years of experience with demonstrated ability to working with cross functionalteam members and business partners and foster a collaborative environment

PreferredQualifications:

  • 5 or more yearsof experience in a leadership role, preferably in Brokerage Operations

  • Strong brokerageoperational background with a depth of understanding of regulatory processrequirements.

  • Strong knowledgeof and experience supporting managed account solutions.

  • Proven ability tobuild and lead effective and results oriented teams with clear direction andpriorities.

  • Proven trackrecord motivating teams to meet and exceed performance targets whilemaintaining a high degree of accuracy and customer focus

  • Communicate andalign team’s roles and responsibilities to the organization’s strategy

  • Must possess theability to engage and empower the team to improve processes, increase operatingresults, and meet business unit goals.

  • Ability to adjustto multiple demands, shifting priorities, ambiguity and rapid change

EqualEmployment Opportunity is not just the law, it’s our commitment. Read moreabout the .

Ifyou need assistance applying due to visually or hearing impaired, please email .

Weare an Equal Opportunity/Affirmative Action Employer. We will consider allqualified applicants for employment regardless of age, race, color, nationalorigin, sex, religion, veteran status, disability, sexual orientation, genderidentity, or any other legally protected status.

*©2016 Teachers Insurance and Annuity Association of America (TIAA), 730 Third Avenue, New York, NY 10017

C23921

Additional Information

  • Requisition ID: 1718719

Field: Business Management & Operations

Company: TIAA

Post Date: Apr 12, 2019

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