Core Responsibilities1. Hires, evaluates, and supervises crew. Provides guidance and training as necessary to develop crew. Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.
2. Reviews team operations to ensure efficiency and compliance with industry regulations. Develops processes and procedures to improve operational effectiveness in relation to brokerage functions. Conducts regulatory supervision of both the registered and associated crew on their respective team and the functions these direct reports support and/or execute. May own various written supervisory procedures to ensure compliance with regulars.
3. Manages complex elevated client issues and oversees resolution of errors. Mitigates risk by appropriately prioritizing resolutions when errors arise.
4. Develops and uses expert knowledge of multiple trading operation platforms to ensure appropriate handling of trade corrections. Builds upon in-depth knowledge of compliance, regulatory, and departmental policy and procedures to guide the team. Maintains awareness of departmental and regulatory changes.
5. Builds strong partnerships with business partners across department to ensure appropriate feedback is provided when errors occur. Utilizes these partnerships to mitigate further risk and error volumes through active problem solving and introduction of controls.
6. Manages delivery of project initiatives. Leads staff to achieve established goals by overseeing resource allocation and implementing timelines, schedules, and statistical data.
7. Participates in special projects and performs other duties as assigned.
Qualifications- Minimum of five years related work experience, with two years of brokerage experience.
- Undergraduate degree or equivalent combination of training and experience.
- This job requires a regulatory license and/or registration (e.g. FINRA, state, SFC). These will be determined by Compliance based on role-specific duties. For this role, we require the Series 7 and Series 63 prior to being hired. The role also requires the Series 24 and Series 4, however, this may be obtained post-hire.
Special FactorsSponsorshipVanguard is not offering visa sponsorship for this position.
