Manager Brokerage and Specialized Operations

Full-time Management & Operations

Overview

The Manager leads a team of operational associates responsible for brokerage operations, including stock plan services, new account principal review, brokerage account processing, and Brokerage Trade Desk operations. The role is accountable for day‑to‑day execution of these functions, ensuring operational excellence, regulatory compliance, effective risk management, and a high‑quality experience for brokerage customers, stock plan participants, and plan sponsors.

What you will do

• Lead a team of associates responsible for operational support of stock plan services and equity compensation programs.
• Lead a team of FINRA‑registered Principals responsible for the review and approval of new retail brokerage accounts, including identity verification, Customer Identification Program (CIP) requirements, and compliance with applicable regulatory and firm policies.
• Lead a team of associates responsible for brokerage account transactio...