Brokerage Operations Manager, NYLIFE Securities 94806

Location Designation: Hybrid - 2 days per week 

Brokerage Operations Manager – NYLIFE Securities - 94806

Join Wealth Management Solutions, where your expertise empowers individuals and families to achieve their financial goals. Collaborate with over 7,500 dedicated advisors and leverage the combined strength of NYLIFE Securities and Eagle Strategies to craft personalized wealth management plans. Be part of a team dedicated to empowering advisors with protection-first holistic advice and guidance, backed by New York Life’s financial stability.

Role Overview

The Brokerage Operations Manager – NYLIFE Securities leads a team of approximately 11 operations professionals responsible for Transfer of Assets and Account Maintenance services supporting brokerage and direct mutual fund accounts. The Manager is accountable for team performance, service quality and effective operational oversight, helping deliver a consistent and high-quality experience for Registered Representatives and clients.

As a Registered Principal and people leader, this role establishes team priorities, monitors operational performance and controls, and develops employees through coaching, feedback and career development. The Manager also works across Service, Agency, Product, Corporate Compliance, Legal and other business partners to resolve operational challenges, strengthen processes and advance continuous improvement and digital innovation across the Service Experience Value Stream.

What You'll Do

• Lead service and operational performance by setting team priorities, monitoring processing goals, quality standards and management controls, and addressing performance gaps to promote timely, accurate and consistent service delivery.
• Provide operational and principal oversight by conducting Principal Reviews, monitoring workflow and control reporting, supporting the resolution of complex cases, maintaining current procedures and supporting internal and external audits.
• Develop and engage talent through ongoing coaching, meaningful performance feedback and career development, creating opportunities for employees to build capabilities while strengthening team performance and accountability.
• Drive continuous improvement and digital innovation by identifying and implementing opportunities to improve processes, efficiency and the customer experience through root cause problem solving, Voice of Customer insights, automation, AI-enabled tools and other continuous improvement practices.
• Collaborate across the organization to resolve operational challenges and advance strategic priorities, partnering with Service, Agency, Product, Corporate Compliance, Legal and other stakeholders on initiatives involving new products, procedures, systems and Wealth Management alignment.

What You'll Bring

Required Skills

• FINRA Series 7, 24 and 53 licenses.
• Demonstrated experience leading teams in a service or operations environment, including setting priorities, managing performance, coaching employees and holding team members accountable for results.
• Strong knowledge of brokerage and mutual fund products, operations and service practices, with the ability to assess complex situations and determine appropriate courses of action.
• Strong analytical and problem-solving capabilities, with experience applying continuous improvement practices to identify root causes, improve processes and enhance customer and operational outcomes.
• Excellent written and verbal communication skills, including the ability to explain complex information and brokerage terminology clearly and collaborate effectively with partners across functions and levels.
• Ability to lead an engaged, high-performing team in a hybrid environment while balancing customer experience, operational quality, regulatory requirements and business priorities.

Preferred Skills

• Bachelor’s degree in finance, business or a related discipline, or equivalent relevant work experience.
• Three or more years of experience managing a service operations team, particularly within brokerage, securities or financial services.
• Hands-on experience implementing Continuous Improvement practices, including participation in the Root Cause Problem Solving (RCPS) process; experience progressing Continuous Improvement efforts through the sustainability phase is strongly preferred.
• Experience using digital, automation and AI-enabled tools to improve operational processes, with proficiency in platforms such as Microsoft 365, Fidelity Wealthscape/FBSI, Sales Central and OnBase.

Pay Transparency

Salary Range: $90,000 -$130,000 

Overtime eligible: Exempt 

Discretionary bonus eligible: Yes 

Sales bonus eligible: No 

Actual base salary will be determined based on several factors but not limited to individual’s experience, skills, qualifications, and job location. Additionally, employees are eligible for an annual discretionary bonus. In addition to base salary, employees may also be eligible to participate in an incentive program.

Our Benefits

We provide a full package of benefits for employees – and have unique offerings for a modern workforce, including leave programs, adoption assistance, and student loan repayment programs. Based on feedback from our employees, we continue to refine and add benefits to our offering, so that you can flourish both inside and outside of work. Click here to discover more about our comprehensive benefit options or visit our NYL Benefits Site.

Our Commitment to Inclusion
At New York Life, fostering an inclusive workplace is fundamental to who we are and how we serve our communities. We have a longstanding commitment to creating an environment where individuals can contribute their best and succeed together. This foundation is rooted in our core values of humanity and integrity, ensuring that every employee feels valued and supported. By embracing a broad range of perspectives and experiences, we achieve greater success and fulfill our promise of providing financial security and peace of mind to families across all communities. Click here to learn more about New York Life’s leadership in this space.​

Recognized as one of Fortune’s World’s Most Admired Companies, New York Life is committed to improving local communities through a culture of employee giving and volunteerism, supported by the Foundation. We're proud that due to our mutuality, we operate in the best interests of our policy owners. To learn more about career opportunities at New York Life, please visit the Careers page of www.NewYorkLife.com.

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Job Requisition ID: 94806