FINRA Licensed Brokerage Specialist
Job Summary
To support seamless back-office functions in brokerage services, the full-time remote FINRA Licensed Brokerage Specialist will review and accept new applications, process account updates, and manage asset movement tasks while ensuring exceptional service for diverse client requests.
Key responsibilities
- Review new applications, complete account setups, and perform suitability reviews as needed
- Conduct daily reviews of outstanding applications and customer requests to ensure timely processing
- Provide updates to internal and external clients regarding the status of items and assist with audits and reporting
Required qualifications
- Bachelor's degree or equivalent combination of education and professional work experience
- 1+ years of experience in brokerage services or operations within the financial services industry
- FINRA Series 7, 24, and 63 registrations required
- FINRA fingerprinting required
- Experience with NetX 360/Pershing is a plus
Complete Job Description
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