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Broker Operations Jobs in Arizona (NOW HIRING)

Expeditors

Customs Brokerage Agent

Nogales, AZ

Ensure accurate and timely data entry into our operational system * Track and Trace Custom files ... Good knowledge of customs brokerage process, customs legislation - especially with regards to ...

Expeditors

Customs Brokerage Agent

Nogales, AZ · On-site

Ensure accurate and timely data entry into our operational system * Track and Trace Custom files ... Good knowledge of customs brokerage process, customs legislation - especially with regards to ...

Quest Energy Group

Weekend Operations Lead

Scottsdale, AZ · On-site

$55K - $75K/yr

Experience: 2+ years of hands-on experience in freight brokerage, third-party logistics (3PL), transportation operations, or carrier management * Expertise: Deep understanding of live load execution ...

Quest Energy Group

Weekend Operations Lead

Scottsdale, AZ · On-site

$55K - $75K/yr

Experience: 2+ years of hands-on experience in freight brokerage, third-party logistics (3PL), transportation operations, or carrier management * Expertise: Deep understanding of live load execution ...

Quest Energy Group

Weekend Operations Lead

Scottsdale, AZ · On-site

$55K - $75K/yr

Experience: 2+ years of hands-on experience in freight brokerage, third-party logistics (3PL), transportation operations, or carrier management * Expertise: Deep understanding of live load execution ...

FAVARH

Principal Review Supervisor

Yuma, AZ

Bachelor's degree in Finance, Business, or related field (or equivalent experience) * 2-4 years of experience in brokerage operations, supervision, or compliance * Active FINRA Series 7 and Series 24 ...

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Broker Operations information

What is the difference between Broker Operations vs Insurance Underwriter?

AspectBroker OperationsInsurance Underwriter
Required CredentialsTypically requires insurance licenses, industry certificationsOften requires actuarial, underwriting, or insurance licenses
Work EnvironmentOffice setting, supporting brokers and agentsOffice-based, assessing risk and approving policies
Employer & Industry UsageUsed by insurance brokerages, agenciesEmployed by insurance companies, underwriters
Common Search & ComparisonOften compared for roles supporting insurance salesCompared for risk assessment and policy approval roles

Broker Operations and Insurance Underwriters both work within the insurance industry but focus on different functions. Broker Operations supports brokers and agents with administrative and compliance tasks, while Insurance Underwriters evaluate risks to determine policy terms. Understanding these differences helps job seekers identify roles aligned with their skills and career goals.

What is a broker operations?

Broker Operations refers to the set of processes and tasks that support the activities of brokers in industries such as finance, real estate, and insurance. These operations typically include trade settlement, account management, compliance checks, documentation, and client servicing. Professionals in broker operations ensure that transactions are processed accurately and efficiently while adhering to regulatory requirements. The role is crucial for maintaining smooth workflow between clients, brokers, and other financial institutions.

What are some typical challenges faced in a broker operations role and how are they addressed?

Professionals in Broker Operations often encounter challenges such as managing high transaction volumes, ensuring regulatory compliance, and resolving discrepancies between trade settlements. To address these, teams use robust workflow management systems and maintain close coordination with both internal departments and external partners. Attention to detail, effective communication, and proactive problem-solving are essential in minimizing errors and maintaining smooth operations, especially during peak trading periods.

What are the key skills and qualifications needed to thrive as a broker operations professional, and why are they important?

To thrive in Broker Operations, you generally need strong analytical skills, attention to detail, and a solid understanding of financial markets, often supported by a degree in finance or a related field. Familiarity with trading platforms, clearing systems, and regulatory compliance tools—such as FIX protocol and Bloomberg Terminal—is typical. Excellent organizational abilities, communication skills, and problem-solving mindset make someone excel in this role. These skills are essential to ensure accurate trade processing, regulatory adherence, and efficient client service in a fast-paced financial environment.
What are the most commonly searched types of Broker Operations jobs in Arizona? The most popular types of Broker Operations jobs in Arizona are:
What are popular job titles related to Broker Operations jobs in Arizona? For Broker Operations jobs in Arizona, the most frequently searched job titles are:
What job categories do people searching Broker Operations jobs in Arizona look for? The top searched job categories for Broker Operations jobs in Arizona are:
Broker Operations jobs near you
Infographic showing various Broker Operations job openings in Arizona as of August 2026, with employment types broken down into 85% Full Time, 12% Part Time, 1% Temporary, and 2% Contract. Highlights an 94% Physical, 2% Hybrid, and 4% Remote job distribution.

Account Approval Operations Specialist, New Accounts

Vanguard Group

Scottsdale, AZ • On-site

$19.25 - $26.25/hr

Full-time

This job post has expired 1 day ago. Applications are no longer accepted.

Vanguard rating

8.7

Company rating: 8.7 out of 10

Based on 64 frontline employees who took The Breakroom Quiz

15th of 150 rated financial services

Job description

Personal Wealth - New Account Approval Team
At Vanguard, we have a client-first mentality that we live and breathe every day through our mission: to take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.
If you have a passion for serving others, building your skillset, and delivering positive client outcomes, join our team as an Account Approval Operations Specialist. You'll play a key role in ensuring new accounts are reviewed and approved accurately and efficiently, helping create a seamless onboarding experience while supporting Vanguard's commitment to compliance, risk management, and operational excellence.
What You'll Do:
  • Review, process, and approve new client accounts in accordance with industry regulations and company policies.
  • Monitor account activity and perform quality reviews to help ensure regulatory compliance and operational excellence.
  • Manage daily work volumes while supporting team goals and assisting with account approval activities as needed.
  • Partner with internal stakeholders to resolve client requests and contribute to continuous process improvement.
  • Collaborate with peers, senior administrators, and leaders to promote consistency and share best practices.
  • Stay current on regulatory requirements, identify potential risks, and escalate compliance concerns when appropriate.
  • Participate in special projects and contribute to initiatives that enhance the client and crew experience.

Qualifications
  • Minimum of one-year related work experience in financial services, brokerage operations, compliance, account onboarding, or a related field.
  • Undergraduate degree or equivalent combination of training and experience.
  • Active FINRA Series 7, 63 and 24 preferred
  • Strong attention to detail with a commitment to accuracy and quality.
  • Excellent communication, organizational, and problem-solving skills.
  • Ability to work both independently and collaboratively in a fast-paced environment.

How We Will Help
We're invested in your success and will provide you with:
  • Fully paid training, coaching, and support to obtain the FINRA Series 7, 63 and 24 licenses.
  • Learning and development opportunities to build your skills and grow your career.
  • Hands-on coaching and mentorship from experienced leaders.
  • Training in Vanguard's products, services, and operations to help you make a meaningful impact on our clients.

Sponsorship
Vanguard is not offering visa sponsorship for this position.
About Vanguard
At Vanguard, we don't just have a mission-we're on a mission.
Every day, we work to take a stand for all investors, treat them fairly, and give them the best chance for investment success. From Malvern to Melbourne, our purpose drives us to innovate, collaborate, and continuously improve how we serve our clients. We invest in our crew's growth, empowering them to build meaningful careers while making a lasting impact on the financial wellbeing of millions of investors.
How We Work
Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.
Special Factors
Sponsorship
Vanguard is not offering visa sponsorship for this position.
About Vanguard
At Vanguard, we don't just have a mission-we're on a mission.
To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.
How We Work
Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.

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