ZipRecruiter

Log In

1

Brokerage Operations Manager Jobs in Rhode Island

M.S. Walker Inc.

Sales Manager

Warren, RI

Sales Manager Territory: Rhode Island area Description : M.S. Walker is hiring a Sales Manager for ... Island and brokerage operations in Maine, New Hampshire and Vermont. We represent a budding ...

M.S. Walker Inc.

Non-CDL Truck Driver

Warren, RI · On-site

Follow and understand verbal directions from management while carrying out tasks in a productive ... Island and brokerage operations in Maine, New Hampshire and Vermont. We represent a budding ...

Bcbsri

Manager of Under 100 Sales

Providence, RI · On-site +1

$102K - $163K/yr

Monitor account performance, retention strategies, and broker engagement * Manage BCBSRI's general agent * Oversee team responsible for * Drive retention performance and operational execution within ...

AllianceBernstein

Regional Manager

Carolina, RI · Remote

We are looking for a Regional Manager (field wholesaler) within our US Retail sales team ... This position will cover Independent Broker Dealers and Bank Advisors in the in NC/SC area. This ...

Citizens

Trade Ops Group Manager

Johnston, RI · On-site

... operations within wealth management, asset management, or broker dealer environments. * Deep understanding of market structure, trade lifecycle, and best execution standards. * Demonstrated ...

Citizens

Trade Ops Group Manager

Johnston, RI · On-site

... operations within wealth management, asset management, or broker dealer environments. * Deep understanding of market structure, trade lifecycle, and best execution standards. * Demonstrated ...

next page

Showing results 1-20

All JobsBrokerage Operations JobsBrokerage Operations Manager JobsBrokerage Operations Manager Jobs in Rhode Island

Brokerage Operations Manager information

See Rhode Island salary details

$30.4K

$62.1K

$116K

How much do brokerage operations manager jobs pay per year?

As of Sep 2, 2026, the average yearly pay for brokerage operations manager in Rhode Island is $62,143.00, according to ZipRecruiter salary data. Most workers in this role earn between $40,200.00 and $75,900.00 per year, depending on experience, location, and employer.

What is a brokerage operations manager?

Brokerage Operations Managers are professionals responsible for overseeing the daily operations of a brokerage firm, ensuring that all transactions and processes run smoothly and comply with industry regulations. Their duties typically include supervising staff, managing trade settlements, monitoring compliance, and implementing operational procedures to increase efficiency. They play a crucial role in risk management, customer service, and maintaining strong relationships with clients, regulators, and other financial institutions.

What are some typical challenges a brokerage operations manager faces in ensuring smooth transaction processing?

A Brokerage Operations Manager often encounters challenges related to managing high transaction volumes, ensuring regulatory compliance, and maintaining data accuracy. Coordinating among different departments—such as compliance, trading, and client services—requires strong communication skills and the ability to resolve issues promptly. Additionally, adapting to rapidly changing financial regulations and implementing new technologies to streamline operations are key aspects of the role. Successfully navigating these challenges helps maintain client trust and operational efficiency.

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

To thrive as a Brokerage Operations Manager, you need strong knowledge of financial markets, operations management, and regulatory compliance, often supported by a degree in finance, business, or a related field. Familiarity with trading platforms, clearing and settlement systems, and certifications such as FINRA Series 7 or 99 are typically required. Outstanding leadership, problem-solving, and communication skills enable effective team management and cross-departmental coordination. These competencies ensure smooth trade execution, regulatory adherence, and efficient workflow within the brokerage environment.

What is the difference between Brokerage Operations Manager vs Brokerage Associate?

AspectBrokerage Operations ManagerBrokerage Associate
CredentialsRelevant licenses (e.g., Series 7, 63), industry certificationsLikewise, licenses such as Series 7, 63, but typically less managerial experience
Work EnvironmentOversees operational processes, manages teams, ensures complianceSupports client transactions, processes trades, assists senior staff
Employer & Industry UsageUsed in brokerage firms, financial institutions, investment firmsCommonly employed in brokerage firms, financial services

The Brokerage Operations Manager focuses on overseeing daily operations, compliance, and team management within brokerage firms. In contrast, the Brokerage Associate primarily supports transaction processing and client service. Both roles require relevant licenses, but the manager role involves more leadership and oversight responsibilities.

What are the most commonly searched types of Brokerage Operations jobs in Rhode Island?

The most popular types of Brokerage Operations jobs in Rhode Island are:

What are popular job titles related to Brokerage Operations Manager jobs in Rhode Island?

For Brokerage Operations Manager jobs in Rhode Island, the most frequently searched job titles are:

What job categories do people searching Brokerage Operations Manager jobs in Rhode Island look for?

The top searched job categories for Brokerage Operations Manager jobs in Rhode Island are:

Brokerage Operations Manager jobs near you
Infographic showing various Brokerage Operations Manager job openings in Rhode Island as of August 2026, with employment types broken down into 82% Full Time, 15% Part Time, 1% Temporary, and 2% Contract. Highlights an 93% Physical, 2% Hybrid, and 5% Remote job distribution, with an average salary of $62,143 per year, or $29.9 per hour.

Senior Manager, Compliance Operations

Fidelity Investments

Smithfield, RI • On-site

Full-time

Re-posted 28 days ago

Fidelity Investments rating

8.7

Company rating: 8.7 out of 10

Based on 273 frontline employees who took The Breakroom Quiz

16th of 152 rated financial services

Job description


Note: Fidelity will not provide immigration sponsorship for this position.
The Role
The Senior Manager, Compliance Operations oversees the escheatment operations team for Fidelity Digital Assets, FILI, eFILI, HR Services, Accounts Payable, Charitable, Green Pier, Workplace Investing, Fidelity Institutional Asset Management and Fidelity Management Trust Company. This role is also responsible for onboarding and implementing new lines of business, including developing policies, procedures, and controls. The role involves leading technological initiatives, responding to inquiries from internal and external stakeholders, supporting process improvements, and strengthening controls. The Senior Manager ensures that all team responsibilities and deliverables are completed accurately and on time.
Responsibilities Include:
  • Manage workflow of state requests and assignment of state requests to analysts.
  • Hire, lead, mentor, and develop a team of associates, fostering a high performance and continuous improvement in culture.
  • Coordinate annual escheatment with internal and external business partners, which includes managing to strict timelines and problem-solving.
  • Ensure on-going compliance with SEC and state required due diligence mailings. Integrate state changes to mailing parameters, re-write customer correspondence as required, and obtain business partner consensus and eReview approvals.
  • Lead project work, defining system requirements, drafting project documentation, and validating UAT results.
  • Responsible for records management and policy and procedure documentation.
  • Resource to other members of the department providing direction and technical expertise as needed.

The Expertise and Skills You Bring
  • BA/BS degree required.
  • Experience: 5 to 8 years of experience in one or more of the following areas: Escheatment, brokerage operations, Risk and Compliance.
  • Some knowledge of state escheatment rules is a plus.
  • 5 plus years in business analysis and or project management in financial services.
  • Excellent interpersonal, communication and time management skills.
  • Working knowledge of Fidelity systems including FBSI, XTRAC, TrackerPro is a plus.
  • Strong collaboration skills and ability to influence cross-functional partners.
  • Process oriented mindset with a focus on automation, efficiency, and error reduction.
  • Strong program management, prioritization, and attention to detail.
  • Ability to clearly communicate technical concepts to non-technical stakeholders.
  • Comfortable working in fast paced environments.
  • Strong regulatory and control mindset.

Fidelity's Onsite Working Model
Fidelity is transitioning to a full-time onsite working model through a phased rollout across regions and roles. Currently, some roles and locations require 100% onsite presence, while others require less. Onsite expectations are likely to evolve as the rollout continues. This transition does not apply to fully remote roles.
Certifications:
Category:
Investment Operations
Please be advised that Fidelity's business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.

What Fidelity Investments employees say

Pay

Benefits

Hours and flexibility

Workplace

Get the full story on Breakroom

Apply