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Brokerage Operations Jobs (NOW HIRING)

TIAA

Brokerage Operations Analyst

Charlotte, NC

$24.04 - $31.30/hr

Completes brokerage operation activities in a timely manner and at established productivity levels. * Understands the regulatory requirements to open and maintain a brokerage/managed account. * Must ...

New

TIAA

Brokerage Operations Analyst

Dallas, TX

$24.04 - $31.30/hr

Completes brokerage operation activities in a timely manner and at established productivity levels. * Understands the regulatory requirements to open and maintain a brokerage/managed account. * Must ...

New

M1 Finance

Brokerage Operations Manager

Chicago, IL · On-site +1

$140K - $160K/yr

Own the supervision of daily brokerage operations workflows including: cash, position, and trading reconciliations across firm and client accounts; ACATS and non-ACATS transfer processing end-to-end ...

M1 Finance

Brokerage Operations Manager

Chicago, IL

Own the supervision of daily brokerage operations workflows including: cash, position, and trading reconciliations across firm and client accounts; ACATS and non-ACATS transfer processing end-to-end ...

TIAA

Brokerage Operations Analyst

Charlotte, NC

$24.04 - $31.30/hr

Completes brokerage operation activities in a timely manner and at established productivity levels. * Understands the regulatory requirements to open and maintain a brokerage/managed account. * Must ...

New

M1 Finance

Brokerage Operations Manager

Chicago, IL

$140K - $160K/yr

Own the supervision of daily brokerage operations workflows including: cash, position, and trading reconciliations across firm and client accounts; ACATS and non-ACATS transfer processing end-to-end ...

TIAA

Brokerage Operations Analyst

Dallas, TX · On-site

$24.04 - $31.30/hr

Completes brokerage operation activities in a timely manner and at established productivity levels. * Understands the regulatory requirements to open and maintain a brokerage/managed account. * Must ...

New

moomoo

Director of Brokerage Operations

Jersey City, NJ · On-site

$100K - $145K/yr

We are seeking an experienced Operations Director to join our dynamic team within our Broker-Dealer operations. The ideal candidate will play a pivotal role in ensuring seamless operational processes ...

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Brokerage Operations information

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How much do brokerage operations jobs pay per hour?

As of Jul 21, 2026, the average hourly pay for brokerage operations in the United States is $24.72, according to ZipRecruiter salary data. Most workers in this role earn between $19.95 and $27.40 per hour, depending on experience, location, and employer.

What is a Brokerage Operations job?

A Brokerage Operations job involves managing the processes that support securities trading, such as trade settlement, clearing, account management, and regulatory compliance. Professionals in this role ensure that transactions are executed smoothly and efficiently while minimizing risk. They work closely with traders, clients, and regulatory bodies to resolve any issues and maintain accurate records. Strong attention to detail, knowledge of financial markets, and compliance expertise are essential for success in this field.

What are some common challenges faced in a Brokerage Operations role?

Professionals in Brokerage Operations often juggle multiple tasks simultaneously, including trade settlements, reconciliations, and regulatory reporting, which can be challenging given the time-sensitive and high-volume nature of the work. Staying updated with frequent regulatory changes and new financial products also requires continuous learning and adaptability. Despite these pressures, working in this role provides valuable insight into the inner workings of financial markets and frequently offers clear pathways for career advancement into supervisory, compliance, or trading-related positions. Many teams operate in a collaborative, structured environment where attention to detail and effective teamwork are essential for ongoing success.

What are the key skills and qualifications needed to thrive in the Brokerage Operations position, and why are they important?

To thrive in Brokerage Operations, you need strong analytical abilities, attention to detail, and a solid understanding of financial markets and securities processing, often supported by a related degree or financial industry experience. Familiarity with trade settlement systems, custodial platforms, and regulatory compliance tools such as SWIFT or DTCC is highly valuable, and FINRA or similar certifications can be advantageous. Exceptional organizational skills, effective communication, and the ability to work under tight deadlines help candidates excel in this environment. These skills ensure accurate transaction processing, regulatory adherence, and seamless coordination within fast-paced brokerage firms.

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Brokerage Operations jobs near you
Infographic showing various Brokerage Operations job openings in the United States as of July 2026, with employment types broken down into 1% Locum Tenens, 95% Full Time, 2% Part Time, and 2% Contract. Highlights an 91% Physical, 3% Hybrid, and 6% Remote job distribution, with an average salary of $51,415 per year, or $24.7 per hour.
Brokerage Operations Principal

Brokerage Operations Principal

First Command Financial Services, Inc.

Fort Worth, TX • On-site

Full-time

Re-posted 23 days ago

First Command Financial Services rating

7.5

Company rating: 7.5 out of 10

Based on 11 frontline employees who took The Breakroom Quiz

Job description


How will this role impact First Command?
The Brokerage Operations Principal plays a key role in overseeing regulatory requirements and assisting in managing the daily operations of the department. This position involves close collaboration with brokerage operations leadership, team members, advisors, office staff, and other business partners to ensure the delivery of high-quality service and operational efficiency. The principal will be responsible for executing a range of time-sensitive financial transactions while maintaining accuracy and compliance.
Additionally, the Brokerage Operations Principal will participate as a member of an Agile Release Train, contribute to shared services, and serve as a subject matter expert in initiatives focused on innovation in service, operations, and technology. This role offers opportunities to make a significant impact on the organization by staying adaptable, acquiring new skills, and driving continuous improvement within the department.
What will you do in this role?
This role is vital to ensuring operational efficiency, regulatory compliance, and high service standards while fostering an environment of continuous learning and improvement.
  • Error Analysis and Corrections: Identify and address errors in managed and brokerage accounts, ensuring corrective actions are implemented promptly.
  • Asset Transfer Oversight: Approve and ensure compliance with all requirements related to asset transfers, including re-registration and other transfer requests, while understanding the rules for placement of a Medallion Signature Guarantee Stamps.
  • Cross-Department Collaboration: Work closely with other departments and teams to handle exceptions, expedite requests, and make judgments regarding how specific requests should be processed.
  • Coverage and Flexibility: Provide coverage for daily workflows across all areas of the department to address employee absences, training needs, and other operational demands.
  • Training and Documentation: Ensure training materials, new hire onboarding resources, cross-training materials, standard work guidelines, desktop procedures, and skills matrices are updated and accurate.
  • Training Effectiveness: Assist management in assessing the effectiveness of training programs through regular testing and feedback, ensuring ongoing skill development for team members.

Who will you lead in this role?
  • Ensure the Execution of Processes and Policies: Decisions and productivity have critical dependencies on timing and regulatory compliance. Ensure alignment of staff to the work by developing daily staffing plans., monitor work queues, and when needed process daily tasks to ensure that all the responsibilities of the department are accomplished.
  • Transaction Processing and Compliance: Ensure the accurate processing of daily and standard transactions, manage complex or exceptional cases, and ensure adherence to Written Supervisory Procedures (WSPs), providing required evidence and sign-offs.
  • Facilitation of Daily Stand-Ups: Lead daily stand-up meetings, maintain stand-up boards, and ensure team alignment on daily goals and tasks.

What skills and qualifications do you need?
Education
  • Bachelor's degree in finance, economics, business administration, or related area or equivalent combination of education and experience preferred.

Work Experience
  • Eight-ten years of work experience in a business setting. (Required)
  • Five years relevant experience in financial services such as Client Services, Trading, Brokerage Operations, Investment Operations, and/or Insurance Operations. (Required),
  • Service experience strongly preferred, with a focus on providing exception service in a fast paced, regulatory-driven environment.
  • Experience processing securities transactions, risk mitigation, ACAT, non-NSCC, and mutual fund transfers utilizing a brokerage clearing platform preferred.

Certifications
  • Series 63 required.
  • Series 7 required.
  • S24 or S9/10 are required.

Required Knowledge, Skills and Abilities
  • Problem-Solving and Analytical Skills: Strong ability to analyze trends, identify issues, and effectively communicate problems or concerns to stakeholders. Demonstrates discipline and teamwork in collaboratively addressing complex process or technical challenges, utilizing a variety of tools and resources to find effective solutions.
  • Sense of Urgency and Drive: Executes tasks with a sense of urgency, a strong drive to make an impact, and a high level of self-confidence, ensuring tasks are completed efficiently and effectively. Capable of working effectively in high-pressure situations, managing elevated workloads without compromising quality
  • Collaborative Team Player: Actively and positively contributes to a highly collaborative team environment, fostering teamwork and shared goals.
  • Continuous Learning: Demonstrates a strong desire to acquire new skills and knowledge, adapting quickly to evolving requirements and challenges.
  • Flexibility and Responsiveness: Willingness to remain flexible and responsive in a dynamic environment, ensuring team deliverables are met despite changing priorities.
  • Professional Engagement: Ability to engage with internal and external partners in a professional and productive manner, ensuring high levels of performance and service.
  • Agile and Lean Knowledge: Familiarity with Agile and/or Lean methodologies, applying them to optimize workflows and drive continuous improvement.

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#LI-Hybrid

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About First Command Financial Services

Sourced by ZipRecruiter

First Command Financial Services, based in Fort Worth, TX, US, operates within the financial services industry. Established in 1958, this company's mission is to "coach those who serve in their pursuit of financial security." With its suite of services and products, including investment management and financial planning, the firm is dedicated to helping military families and federal employees achieve financial security. Over the years, First Command has made a name for itself through integrity, commitment, and an approach built upon trust, resulting in substantial client loyalty. Featured among its notable achievements is the company's consistent placement among the top 1% of all wealth management firms in the USA in terms of long-term investment results, confirming their commitment to providing exceptional financial services.

Industry

Finance and insurance

Company size

1,001 - 5,000 Employees

Headquarters location

Fort Worth, TX, US

Year founded

1958

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