Sr. Operations Manager - Broker Dealer

Location UNITED STATES, United States
Experience level Experienced Hire
Job details sector Operational Excellence
Apply before Date not available
As a team leader, under the direction of the Director, coaches, develops and supports team members. Is considered a recognized technical resource whose knowledge encompasses a broad range of products and procedures. Independently resolves complex and sensitive casework. Facilitates daily workflow and adjusts job functions based on business needs.

• Responsible for day-to-day operations with brokerage business and operational oversight.
• Review of client accounts and transactions for investment related business, including brokerage, direct mutual fund and advisory.
• Experience with outsourcing arrangements.
• Familiar with Broker /Dealer and investment advisory regulatory and compliance responsibilities and FINRA
• Superior knowledge of team subject matter and the ability to connect BAU to team and overall goals and objectives.
• Able to motivate staff.



• Undergraduate Degree in Business, Finance or a related field
• 3-6 years of relevant experience
• Microsoft Office Suite (Excel, Word, PPT, Project, Visio, Etc) required
• Broad brokerage operational knowledge
• Series 7 and 24 Required
• Series 63/65 or 66 Preferred



We have been providing stability and reliability to our clients since 1859 to help them live their lives with confidence, to give them peace of mind, and enable them to realize their dreams for their loved ones and their legacy.

As an employer AXA is committed to creating an environment where everyone feels completely comfortable bringing their true selves to work every day. AXA US has been recognized and certified as a great place to work by the Great Place to Work Institute.

We provide our employees opportunities to move within our organization so they can grow their career and skills without ever having to leave AXA. Almost 40% of our open jobs are filled with current employees.
NOTE: AXA participates in the E-Verify program.

In addition to competitive compensation and an outstanding benefits package including 401 (k) and medical programs, we offer the opportunity for continued professional development in a congenial corporate environment.

AXA is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national origin, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws.


Would you like to wake up every day driven and inspired by our noble mission and to work together as one global team to empower people to live a better life? Here at AXA we strive to lead the transformation of our industry. We are looking for talented individuals who come from varied backgrounds, think differently and want to be part of this exciting transformation by challenging the status quo so we can push AXA - a leading global brand and one of the most innovative companies in our industry - onto even greater things.
In a fast-evolving world and with a presence in 64 countries, our 166,000 employees and exclusive distributors anticipate change to offer services and solutions tailored to the current and future needs of our 103 million customers.