FINRA Licensed Brokerage Operations Specialist

Job Summary

To support brokerage operations, the full-time FINRA Licensed Brokerage Operations Specialist will manage incoming phone calls and process new account documents, maintenance requests, and complex service transactions while ensuring compliance with regulatory standards.

Key responsibilities

• Provide services as part of a brokerage operations team, including answering calls and managing workflow
• Analyze and process non-routine transactions to ensure high-quality service and member satisfaction
• Maintain professional relationships with field professionals and internal business units while ensuring timely communication regarding account statuses

Required qualifications

• High School diploma with 1-2 years of relevant Financial Services industry experience
• FINRA Series 7 and 63/65, or 66 required or to be obtained within 90 days of hire
• Proficient with Microsoft Office suite, particularly Microsoft Outlook
• Bachelor's degree in Business, Finance, or Economics preferred
• 3-5 years of experience in the Brokerage industry, focusing on Account Transfers is a plus