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Brokerage Operations Associate Jobs in Raleigh, NC

Stifel

Client Service Associate - NR

Chapel Hill, NC · On-site

$12 - $16.50/hr

Perform operational or administrative functions for client related requests (i.e., check requests ... Industry Knowledge - General understanding of the investment brokerage industry and securities ...

Kestra Financial

Client Service Associate

Raleigh, NC · On-site

$14 - $19.50/hr

The client service associate plays a critical role in the back-office functioning of our firm. With ... broker/dealer operations and financial services products, including but not limited to: equities ...

Stifel

Client Service Associate - NR

Chapel Hill, NC · On-site

$12 - $16.50/hr

Perform operational or administrative functions for client related requests (i.e., check requests ... Industry Knowledge - General understanding of the investment brokerage industry and securities ...

Stifel

Client Service Associate - NR

Chapel Hill, NC · On-site

$12 - $16.50/hr

Perform operational or administrative functions for client related requests (i.e., check requests ... Industry Knowledge - General understanding of the investment brokerage industry and securities ...

Sysco

Product Support Advisor-Grocery

Raleigh, NC

$20 - $22/hr

Manage local supplier and broker relationships * Provide input, support, and guidance to operation ... The associate will be required to follow any other instructions and to perform any other job ...

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See Raleigh, NC salary details

$10

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$51

How much do brokerage operations associate jobs pay per hour?

As of Jul 11, 2026, the average hourly pay for brokerage operations associate in Raleigh, NC is $25.51, according to ZipRecruiter salary data. Most workers in this role earn between $17.31 and $29.42 per hour, depending on experience, location, and employer.

What are Brokerage Operations Associates?

Brokerage Operations Associates are professionals who support the day-to-day activities of a brokerage firm. They are responsible for processing trades, maintaining client accounts, ensuring regulatory compliance, and resolving discrepancies or issues related to transactions. Their work ensures the smooth settlement of trades and accurate record-keeping, which is essential for client trust and the proper functioning of financial markets. They often collaborate with brokers, clients, and other departments to ensure all operations run efficiently.

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

To thrive as a Brokerage Operations Associate, you need a solid understanding of financial markets, trade processing, securities settlement, and a bachelor’s degree in finance or a related field. Familiarity with trade management platforms (such as DTCC, Bloomberg, or SWIFT), and sometimes FINRA Series 7 or Series 63 certification, is typically required. Strong attention to detail, analytical thinking, and effective communication skills help ensure accuracy and efficiency when resolving issues and interacting with clients or internal teams. These skills are crucial for minimizing risk, maintaining compliance, and ensuring smooth and timely execution of brokerage operations.

What are some common challenges faced by Brokerage Operations Associates, and how can they be addressed?

Brokerage Operations Associates often encounter challenges such as managing high transaction volumes, ensuring regulatory compliance, and resolving discrepancies between trades and settlements. Staying organized and detail-oriented is crucial, as even small errors can have significant impacts. Proactively communicating with internal teams and external partners, and leveraging technology tools, can help streamline processes and minimize errors. Continuous learning about industry regulations and best practices also helps Associates stay ahead of compliance requirements.
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Brokerage Operations Associate jobs near you
Registered Brokerage Service Assistant

Registered Brokerage Service Assistant

First Citizens Bank

Raleigh, NC

Full-time

Medical, Life

Re-posted 6 days ago

First Citizens Bank rating

7.5

Company rating: 7.5 out of 10

Based on 104 frontline employees who took The Breakroom Quiz

91st of 148 rated banks

Job description

Overview

Join First Citizens Bank and be part of a team dedicated to helping clients build stronger financial futures. From banking and lending to investments, insurance, and wealth planning, the First Citizens Wealth team provides comprehensive solutions backed by trusted expertise. Here, your work helps power meaningful progress for the clients and communities we serve. 

This position provides operational and trading support to financial planning associates and clients. Facilitates high service standards by ensuring efficient daily operations. Answers client calls for operational inquiries or account requests. Responsible for compliance documentation and filing. Processes paperwork in an accurate, timely fashion. Maintains knowledge of the Bank's policies, procedures, and systems in order to resolve operational issues.


Responsibilities
  • Operations Support - Addresses operational client service questions and inquiries. Researches, resolves, and communicates updates to the appropriate parties. Assists with time-sensitive operational projects and deadlines. Ensures all unsolicited client trading requests are executed correctly and in a timely manner.
  • Account Servicing - Creates, maintains, and updates client accounts. Utilizes department systems to input account information such as money movement requests, cashier records, and other items. Identifies outstanding process needs or account actions and ensures all necessary documentation is present.
  • Documentation - Responsible for filing, completing, and maintaining department forms, including client paperwork. Assists in processing compliance files and sourcing information needed for daily activities.
  • Collaboration - Works closely with associates, management, clients, and business team in fulfilling daily requests and providing necessary information. Ensures outstanding items are appropriately followed-up and deadlines met in a team environment.

Qualifications

Bachelor's Degree and 0 years of experience in Financial Services or Brokerage industry OR High School Diploma or GED and 2 years of experience in Financial Services or Brokerage industry

License or Certification Type: Must have or obtain within 180 days all required licenses: Series 7, Series 63 & 65 or 66 as well as state-specific life, health, and long term care insurance licenses RequiredSkill(s): Experience in Financial Brokerage Operations in supporting client and advisors relationships

Benefits are an integral part of total rewards and First Citizens Bank is committed to providing a competitive, thoughtfully designed and quality benefits program to meet the needs of our associates. More information can be found at https://jobs.firstcitizens.com/benefits.

Qualifications:

Bachelor's Degree and 0 years of experience in Financial Services or Brokerage industry OR High School Diploma or GED and 2 years of experience in Financial Services or Brokerage industry

License or Certification Type: Must have or obtain within 180 days all required licenses: Series 7, Series 63 & 65 or 66 as well as state-specific life, health, and long term care insurance licenses RequiredSkill(s): Experience in Financial Brokerage Operations in supporting client and advisors relationships

Benefits are an integral part of total rewards and First Citizens Bank is committed to providing a competitive, thoughtfully designed and quality benefits program to meet the needs of our associates. More information can be found at https://jobs.firstcitizens.com/benefits.

Education:UNAVAILABLEEmployment Type: FULL_TIME

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