Brokerage Operations Lead: Settlement, Risk & Compliance
Listed on 2026-10-06
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Finance & Banking
Risk Manager/Analyst, Financial Compliance, Regulatory Compliance Specialist, Banking & Finance -
Management
Risk Manager/Analyst, Regulatory Compliance Specialist, Banking & Finance
TIAA is seeking a Brokerage Operations Manager to supervise clearance, settlement, and reconciliation of trades across desks. You will lead a multi-site team and work closely with traders, finance, compliance, brokers, custodians, and customers to ensure timely settlements and accurate books.
The role requires 5+ years broker-dealer experience, with 7+ preferred, Series 7/63/24, and a university degree. You will drive risk controls, improve processes, and oversee performance management and
This opportunity is for the Brokerage Operations Lead:
Settlement, Risk & Compliance role at TIAA.
All applications are reviewed carefully by our team.
The position is based in Charlotte, NC, United States.
This opportunity is part of our work in Finance, Management & Operations.
The advertised compensation is 77..
We aim to respond to suitable candidates as soon as possible.
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