FINRA Licensed Brokerage Operations Lead

Job Summary

A company is looking for a Brokerage Operations Team Lead - Remote.

Key Responsibilities

• Support operational activities with clearing broker/dealer and resolve daily alerts
• Monitor and audit operational activities, ensuring compliance with regulations
• Provide advisor support and assist with onboarding new advisors to the clearing firm

Required Qualifications

• 4-year degree preferred
• 5-10 years of financial industry experience
• FINRA Series 7 and SIE required; Series 24 preferred
• Strong process management skills
• Proficient with Microsoft Office