BBVA Compass

  • Brokerage Manager

    Job ID
    2018-117079
    Category
    INVESTMENTS
    FLSA Status
    EXEMPT
    Type
    FULL TIME
    EOE Statement
    Equal Opportunity Employer - Minority/Female/Disability/Veterans.
  • Overview

    At BBVA, we are working to make banking better for everyone. That is where you come in. We are looking for smart, team oriented people who want to be part of a first-class workforce that gives people the tools they need to meet their financial goals, all while delivering an outstanding client experience. Learn more below.

    Responsibilities

    Manages a team within Brokerage Operations of BBVA Compass Investment Solutions.  Functions managed include cashiering, asset transfers, bank reconciliations, margin oversight, and other account maintenance and support activities for the domestic division of BCIS.  Manager will also participate and contribute to department initiatives and transformation projects.

     

    Primary Duties and Responsibilities:

    • Manage team functions to ensure duties are performed in an accurate and timely manner.
    • Ensure compliance with established policies & procedures and meeting defined service levels.
    • Establish employee performance expectations; provide training and resources to support development of employees.
    • Interact with related functional teams at clearing broker dealer for process support and issue resolution.
    • Maintain expertise of system processes and workflows to ensure team responsibilities are both effective and efficient.
    • Lead/participate in department projects and initiatives.
    • Provide management reporting as assigned.
    • Support audit engagements and regulatory exam requests
    • Manage expenses within budget.

    Qualifications

    Must meet credit history and criminal background requirements associated with Financial Industry Regulatory Authority registration process, to include FBI fingerprint criminal history, review of credit report, civil litigation, liens, and other public records.

     

    Qualifications:

    Minimum qualifications include:

    • Securities licenses 7, 63 and 24
    • 5+ years of experience in the brokerage or securities industry
    • 5+ years of experience in management, including managing teams and projects, along with background in employee development and career coaching
    • Ability to identify risk and mitigate
    • Excellent customer service, negotiation, planning, and organizational skills
    • Highly proficient in Microsoft applications
    • Ability to multitask

    In addition, ideal candidates will also have the following desired qualifications:

    • Bachelors degree in finance, accounting or general business (or related)
    • Experience with NetX360 brokerage platform.
    • Extensive knowledge of operations and related regulatory requirements is preferred

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