FINRA Series 7 Licensed Brokerage Specialist

Job Summary

A company is looking for a Brokerage Operations Specialist to manage daily brokerage operations and client communications related to life events.

Key Responsibilities:

• Own the client communication experience for life events
• Complete daily brokerage operations exception reports and conduct quality control reviews
• Perform cashiering duties and provide ongoing account maintenance for risk mitigation

Required Qualifications:

• Minimum of 2 years brokerage industry experience, preferably in a back office role
• Knowledge of securities regulations, account transfers, and corporate actions
• Understanding of AML and risk mitigation rules
• Bachelor's degree in finance, economics, or related field, or equivalent work experience
• FINRA Series 7 required (or ability to obtain within 90 days)