California Licensed Brokerage Operations Specialist

Job Summary

To support daily brokerage operations, the full-time California Licensed Brokerage Operations Specialist will manage exception reports, conduct quality control reviews, and perform cashiering duties while collaborating cross-functionally in a remote environment.

Key responsibilities

• Complete daily brokerage operations exception reports including unreconciled activity and corporate actions
• Conduct quality control reviews and regulatory document delivery reconciliation
• Perform cashiering duties including verification of incoming wires and processing withdrawal requests

Required qualifications

• Minimum of 2 years brokerage industry experience, preferably in a back office role
• Strong understanding of securities regulations, account transfers, and corporate actions
• Knowledge 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)