FINRA Licensed Operations Specialist

Job Summary

A company is looking for an Operations Specialist responsible for overseeing daily workflows, approving new accounts, and managing money movement.

Key Responsibilities

• Review daily work items and prepare documents for Principal approval
• Download and verify reports for accuracy before submission to management
• Maintain customer account records and respond to inquiries as needed

Required Qualifications

• Bachelor's degree in business or a related field preferred
• 2+ years of investment industry experience preferred
• Active FINRA Series 7, Series 24 (or Series 9 & 10), and Series 4 licenses required
• Experience with custodians such as Schwab, Fidelity, or Pershing
• Active FINRA Series 66 (or Series 65 & 65) preferred