FINRA Licensed Principal

Job Summary

To support a growing customer service team in financial services, the full-time FINRA Licensed Principal will engage with over 11,000 Financial Professionals, validating client documents for compliance and providing exceptional service in a remote environment.

Key responsibilities:

• Validate client documents for compliance, completeness, and accuracy while executing trades as needed
• Maintain electronic client files and documentation on a proprietary web-based software system
• Provide high-level service and responsiveness to ensure client satisfaction and implement new policies based on business and regulatory changes

Required qualifications:

• 1-2 years of related experience in financial services operations
• Proficiency in Microsoft Office Suite (Word, Excel, Outlook, PowerPoint)
• Completion of FINRA SIE exam and possession of FINRA Series 7 license or other FINRA licenses
• High school diploma or equivalent; bachelor's degree preferred
• Strong customer focus orientation and attention to detail