FINRA Licensed Principal

Job Summary

Engaging directly with over 11,000 Financial Professionals nationwide, the full-time FINRA Licensed Principal will perform administrative and sales support duties, ensuring compliance of transactions and documentation while providing exceptional customer service in a remote environment.

Key responsibilities

• Validate client documents for compliance, completeness, and accuracy, handling requests via phone and document management systems
• Maintain electronic client files on a proprietary web-based software system and suggest new policies based on business changes
• Provide high levels of service and responsiveness to customers, ensuring client satisfaction remains a key differentiator for the organization

Required qualifications

• FINRA Series 7 & 24 licenses
• 1-2 years of related experience in financial services operations
• Proficiency in Microsoft Office Suite (Word, Excel, Outlook, PowerPoint)
• High school diploma or equivalent; a Bachelor's degree is preferred
• Strong customer focus orientation with excellent organizational skills