Stockbroking Operations Manager

25 Nov 2021
09 Dec 2021
Full Time
Contract Type

At Lloyds Banking Group, we're motivated by a clear purpose - to Help Britain prosper. Across the Group, our colleagues are focused on making a difference to customers, businesses and communities.

Our Insurance and Wealth division helps personal and business customers with their general insurance, protection, investment and retirement needs. We support around 10 million customers with assets under administration of £155 billion and annuity payments in retirement of over £1 billion every year.

As Stockbroking Operations Manager you'll lead a team responsible for delivering customer facing operations in a business regulated by the Financial Conduct Authority and subject to Client Asset Rules as a large CASS firm. You'll provide subject matter expertise and technical support to enhance, improve and reinforce levels of management and risk control across the Halifax Share Dealing Limited (HSDL) business.

We'll encourage you to demonstrate or be able to develop a technical and commercial understanding of the Stockbroking operation, using your knowledge to develop a motivated team to deliver a first class service. We'll also require you to operate with complex processes and manage the efficient and effective production of high quality output and analysis, that anticipates and meets the needs of our customers both internal and external.

Our team works out of our Leeds hub, therefore we'll need you to be based a commutable distance from this area. We work in a hybrid model, splitting our time between the office and working from home.

Some of the activities you'll be involved in are:

  • Provide technical oversight across teams who are delivering the daily customer facing operations in order to assure that the business meets its regulatory obligations and customer needs

  • Take a pro-active approach to process control and has a complete understanding of the Risk Management and policy framework for HSDL and LBG

  • Agree business volume expectations with Senior Managers and plan resource accordingly, recruiting appropriate staff as required, and devise contingency plans in the event that volumes are higher than anticipated

  • Provide insightful information, guidance and advice to influence business decisions or resolve queries, issues or problems

  • Establish and build relationships with partners both within the Bank and in external industry or supplier functions

  • Identify process enhancements to meet operational efficiency, making recommendations and following them through to implementation

  • Support or assume responsibility for agreed change projects, coordinating plans and resources to achieve agreed deliverables and continuous improvement within the required time, cost and quality parameters.

  • Manage a hard-working team developing colleagues through stretching objectives, feedback and coaching. Provide direct feedback to Team Managers to ensure that colleagues are given access to appropriate development and training

  • Oversee the Continual Professional Development of the team to ensure they remain proficient and motivated to complete the appropriate industry qualification within one year of being appointed to role

  • Provide cover and deputise for the Senior Manager when required


We're looking from colleagues who have the following key capabilities, knowledge and experience:

It is a requirement for you to achieve completion of the Investment Operations Certificate within 2 years of starting in role to prove FCA Overseer competence, and continuous assessment of ongoing competence. We'll fund and support you to do this if not already achieved.



  • Experience of leadership roles within an operational or call centre environment, motivating colleagues to be their best

  • A comprehensive knowledge or experience of working within a regulatory environment and within a control framework

  • Experience and ability to evidence successful integration of projects into a business area

  • Demonstrates a clear understanding of issues that may impact customers, colleagues & shareholders, and applies commercial judgement in building an internal control framework

  • Experience of delivering accurate work and quality solutions



  • Awareness of stock markets, trading platforms and processes

  • Knowledge of brands, products and processes supported by the Stockbroking business


So, what can we offer you in return?

Whatever your aspiration, you can also expect excellent benefits, personal development, and a career that's enriching and full of opportunity. You'll also receive a competitive package in addition to your base salary that includes:

  • 4% Flexible Benefit of base salary (which you can simply take the cash-sum with salary)

  • Discretionary variable bonus.

  • Generous Employer Pension contribution.

  • 30 days holiday entitlement plus bank holiday, Private Medical Insurance and access to Share plan.

In return for your expertise, your ongoing personal and professional development will be supported. Here, you'll grow as a person and develop your career. As a valued member of our team, we'll support to grow and advance you through excellent training and progression opportunities.

We're an equal opportunity employer and deeply value diversity within our organisation. We'll ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

Together we make it possible.

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