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Broker Operations Manager Jobs in Virginia (NOW HIRING)

LHH US

Investment Operations Manager

Richmond, VA · On-site

$90K - $120K/yr

... broker-dealer vs. RIA regulatory requirements; working knowledge of FINRA/SEC/FinCEN/DOL ... Operations role please apply below. Pay Details: $90,000.00 to $120,000.00 per year Search managed ...

LHH US

Investment Operations Manager

Richmond, VA

$90K - $120K/yr

... broker-dealer vs. RIA regulatory requirements; working knowledge of FINRA/SEC/FinCEN/DOL ... Operations role please apply below. Pay Details: $90,000.00 to $120,000.00 per year Search managed ...

HTP Solutions

Broker Account Manager

Mclean, VA · On-site

$70K/yr

JOB SUMMARY The Broker Account Representative at is responsible for building and managing strong ... Collaborate with marketing and operations to provide broker feedback and enhance tools like the ...

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Broker Operations Manager information

What is the difference between Broker Operations Manager vs Insurance Underwriting Manager?

AspectBroker Operations ManagerInsurance Underwriting Manager
Required CredentialsBroker license, industry certificationsUnderwriting certifications, actuarial knowledge
Work EnvironmentBrokerage firms, insurance agenciesInsurance companies, underwriting departments
Employer & Industry UsageUsed in brokerage and agency settingsCommon in insurance carriers and underwriting firms
Search & Comparison IntentUnderstanding broker operations, managing broker teamsAssessing underwriting processes, risk evaluation

The Broker Operations Manager primarily oversees daily brokerage activities, client relations, and compliance within insurance agencies. In contrast, the Insurance Underwriting Manager focuses on evaluating risks, setting policy terms, and managing underwriting teams. While both roles require industry-specific certifications and work within the insurance sector, their core responsibilities differ—broker managers handle client and broker relations, whereas underwriting managers focus on risk assessment and policy approval.

What does a Broker Operations Manager do?

A Broker Operations Manager oversees the daily operations of brokerage firms, ensuring that trading, compliance, and client service processes run smoothly and efficiently. They manage teams responsible for processing transactions, reconciling accounts, and maintaining regulatory compliance. Additionally, they streamline workflows, implement new technologies, and handle escalations from clients or staff. Their goal is to optimize the firm's operational performance while minimizing risks and ensuring adherence to industry regulations.

What are the key skills and qualifications needed to thrive as a Broker Operations Manager, and why are they important?

To thrive as a Broker Operations Manager, you need expertise in financial operations, regulatory compliance, and process optimization, typically supported by a degree in finance or business and relevant industry experience. Familiarity with brokerage platforms, CRM systems, and regulatory reporting tools is essential, and certifications such as Series 7 or Series 63 can be advantageous. Strong leadership, problem-solving abilities, and excellent communication skills help drive team performance and client satisfaction. These competencies are crucial for ensuring smooth, compliant operations and maintaining a high standard of service in a dynamic financial environment.

What are some common challenges faced by a Broker Operations Manager, and how can they be addressed?

A Broker Operations Manager often encounters challenges in streamlining workflow processes, ensuring regulatory compliance, and maintaining clear communication between brokers, clients, and internal teams. Balancing multiple priorities while adapting to evolving industry regulations can be demanding. Addressing these challenges typically involves implementing robust operational procedures, fostering a culture of transparency, and leveraging technology to automate routine tasks. Effective team leadership and ongoing professional development also play key roles in overcoming these obstacles and promoting operational excellence.
What cities in Virginia are hiring for Broker Operations Manager jobs? Cities in Virginia with the most Broker Operations Manager job openings:
Broker Operations Manager jobs near you

Investment Operations Manager

LHH US

Richmond, VA • On-site

$90K - $120K/yr

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Re-posted 12 days ago

Job description

LHH Recruitment Solutions is searching for an Investment Operations Manager, for a permanent position, working in an office, in Richmond, Virginia.
We're looking for someone to ensure adherence to firm and regulatory requirements, and serve as a key liaison between various departments.
Duties include:
• Onboard and train new Client Service Associates and Financial Advisors on policies/procedures
• Review/approve service requests (account openings/maintenance, asset movement)
• Supervise trade activity for compliance and suitability across custodian platforms and direct-held products (alts, insurance, annuities, 529s)
• Monitor client profiles and account activity across custodian, planning, CRM, and compliance systems
• Research and resolve operational issues tied to client accounts and activity
• Review/approve incoming and outgoing correspondence; maintain correspondence records
• Ensure required documents are executed properly and retained
• Oversee Branch administrative/operational processes and roll out new compliance requirements/training
Ideal candidate will have
• 5+ years in wealth management in operations, and/or compliance capacity
• Strong knowledge of broker-dealer vs. RIA regulatory requirements; working knowledge of FINRA/SEC/FinCEN/DOL expectations
• Experience with Branch supervision (transactions, account maintenance, correspondence, advertising)
• Comfort navigating multiple systems (custodian platforms, financial planning tools, CRM, compliance systems)
• Strong communication, organization, and process-management skills; ability to prioritize across multiple requests
• Licenses: Series 7 and 66 required plus Series 9/10 or 24 (or equivalents) preferred; Life/Health/Annuities license strongly preferred; willingness to obtain additional licenses as needed
• Proficiency with Microsoft Office (PowerPoint, Excel, Word, Outlook)
Permanent Salary Range: $90K to $120K plus bonus potential
Benefits include medical, dental, vision, PTO, 401K, continuing education reimbursement, HSA, life insurance and more.
If interested in this permanent Investment Operations role please apply below.
Pay Details: $90,000.00 to $120,000.00 per year
Search managed by: Jane Schenberg
Equal Opportunity Employer/Veterans/Disabled
Military connected talent encouraged to apply
To read our Candidate Privacy Information Statement, which explains how we will use your information, please navigate to https://www.lhh.com/us/en/candidate-privacy
The Company will consider qualified applicants with arrest and conviction records in accordance with federal, state, and local laws and/or security clearance requirements, including, as applicable:
  • The California Fair Chance Act
  • Los Angeles City Fair Chance Ordinance
  • Los Angeles County Fair Chance Ordinance for Employers
  • San Francisco Fair Chance Ordinance
Massachusetts Candidates Only: It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.