Team Manager, Brokerage

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Company: TIAA
Location: Charlotte, NC 28262 (University City North area)

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COMPANY OVERVIEW:

TIAA is the leading provider of financial services in the academic, research, medical, cultural and government fields. We offer a wide range of financial solutions, including investing, banking, advice and education, and retirement services.

POSITION SUMMARY:

The Direct Contact Center is focused on engaging clients and prospects with TIAA’s retail and institutional brokerage offering by aligning services and solutions with their long-term financial objectives. The Brokerage Team Manager leads 14-18 Consultants who deliver phone and chat based servicing solutions to TIAA’s Brokerage customers, as well as referrals to internal business partners. This integral leadership position is responsible for coaching, collaborating with business partners on shared best practices, supervisory oversight, and operational support for the unit to ensure a world-class service delivery experience for our clients.

KEY RESPONSIBILITIES AND DUTIES:
  • Develop and execute upon the vision, business plan, and promote client solution excellence and prudent solution delivery
  • Coach consultants in a service and referral based environment
  • Foster an environment of continuous improvement, change management and professional development
  • Maintain awareness of major market events and regulatory changes that impact our clients
  • Responsible for team’s adherence to FINRA, SEC and State Insurance Regulations
  • Must comply with all regulatory requirements and remain in good standing with regulatory agencies

MINIMUM QUALIFICATIONS:
  • Active FINRA Series 7, and Series 24 (or 9/10).
  • 5+ years of experience in financial services
  • Experience working in a Brokerage environment
PREFERRED QUALIFICATIONS:
  • Series 66 (or 63/65), Life/Health/Variable Annuity Insurance licensing. (if not currently held, must obtain within 120 days of start date)
  • Excellent interpersonal, relationship building, and leadership skills
  • Success in understanding service delivery standards and experience in a financial services sales environment
  • Broad technical skills required for retirement, brokerage products, general investment matters and applicable tax and estate planning issues
  • Demonstrated effective decision making and time management skills