Brokerage Operations Analyst at TIAA — Charlotte, NC
Full job description
Operations Analyst The Operations Analyst is responsible for a variety of tasks associated with the opening, funding, account transfers, and on-going maintenance of discretionary managed, fee-based accounts, as well as self-directed accounts. Under limited supervision, this job understands the regulatory/compliance policies associated with the brokerage business and understands the financial impacts associated with operational and trading responsibilities.
Key Responsibilities and Duties
- Processes account opening, initiates money movement requests, account transfers and/or processes account maintenance request.
- Deposits client funds into the correct account.
- Performs various account maintenance processing/updates as directed by supervisor.
- Communicates requirements to open, fund and maintain a TIAA brokerage/managed account.
- Completes brokerage operation activities in a timely manner and at established productivity levels.
- Understands the regulatory requirements to open and maintain a brokerage/managed account.
- Must be flexible and work as a team to deliver exceptional service, manage high volume of tasks to ensure cases are processed both accurately and efficiently.
Educational Requirements
- University (Degree) Preferred
Work Experience
- No Experience Required
FINRA Registrations
- SRC Indicator: NRF
Physical Requirements
- Physical Requirements: Sedentary Work
Career Level 5IC
Preferred Skills:
- Financial Services experience
- Brokerage knowledge
- Operations processing experience
- Demonstrate experience as a problem solver
- Attention to detail
- University Degree
Related Skills
Adaptability, Collaboration, Communication, Conflict Management, Continuous Improvement Mindset, Critical Thinking, Detail-Oriented, Financial Risk Management, Prioritizes Effectively, Transaction Processing
Anticipated Posting End Date:
2026-07-23
Base Pay Range: $24.04/hr - $31.30/hr
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