FINRA Licensed Brokerage Specialist

Job Summary

To support seamless back-office functions of brokerage services, the full-time remote FINRA Licensed Brokerage Specialist will review new applications, process account updates, and handle asset movement tasks while ensuring exceptional service and timely processing of client requests.

Key responsibilities

• Review and complete setup of new accounts, process contributions, and perform suitability reviews as needed
• Conduct daily reviews of outstanding applications and customer requests to ensure timely processing
• Provide updates to clients regarding the status of items and assist with audits and reporting

Required qualifications

• Bachelor's degree or equivalent combination of education and professional experience
• 1+ years of experience in brokerage services/operations in the financial services industry
• FINRA 7, 24, and 63 registrations required
• FINRA fingerprinting required
• Experience with NetX 360/Pershing is a plus