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TIAA Director Brokerage Operations in CHARLOTTE, North Carolina


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,.


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.


  • 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.



  • 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


  • 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


Additional Information

  • Requisition ID: 1718719

Field: Business Management & Operations

Company: TIAA

Post Date: 6 days ago