FINRA Licensed Brokerage Analyst

Job Summary

A company is looking for a Brokerage Specialist - Analyst.

Key Responsibilities

• Oversees and manages contact center oversight activities for vendors and clients, providing analytical oversight for business product lines
• Reviews compliance with annual procedure audits and identifies risks while gathering data to inform operational results
• Communicates with clients to process trading adjustments, provides oversight for trading activity, and develops Learning and Development programs for junior team members

Required Qualifications

• Bachelor's degree or equivalent combination of education and relevant experience
• 2+ years of relevant work experience
• Required licenses include SIE, Series 7, Series 63, Series 24; support for Series 4, Series 52, and Series 53 as needed
• Preferred 2-3 years of Financial Services experience
• Ability to manage a high volume of tasks with tight deadlines