FINRA Licensed Broker Dealer Associate

Job Summary

Providing administrative support to registered representatives and clients, the full-time remote FINRA Licensed Broker Dealer Associate I will manage transaction-based accounts, process inquiries, and ensure compliance with securities regulations.

Key responsibilities

• Review and process administrative tasks related to transaction-based accounts and asset transfers
• Research and resolve customer and representative inquiries, ensuring accurate documentation and compliance
• Collaborate with financial professionals and provide mentorship to ensure timely and accurate processing

Required qualifications

• Associates degree in a business-related field or equivalent work experience
• 1+ year of relevant work experience preferred
• Must become an associated person of Principal Securities
• FINRA Securities Industry Essentials (SIE) exam required within 12 months
• Basic computer skills and ability to learn business unit software