FINRA Licensed Quality Specialist
Job Summary
To ensure the accuracy and compliance of stock plan transactions, the full-time remote FINRA Licensed Quality Specialist will perform quality reviews of back-office operational processing functions, manage approvals and escalations, and collaborate with various teams to enhance operational efficiency.
Key responsibilities
- Perform quality reviews of operational processing functions supporting Stock Plan Services and administer quality control standards
- Review and approve stock plan processing activities, ensuring compliance with established policies and procedures
- Identify trends in processing errors and recommend process improvements to enhance operational efficiency and risk management
Required qualifications
- Bachelor's degree in Business, Finance, or a related field, or four additional years of financial services experience in lieu of a degree
- 3+ years of experience in brokerage services, brokerage operations, or stock plan services
- FINRA Series 7 and Series 24 registrations required
- Proficiency with Microsoft Office applications, including Excel, Word, and SharePoint
- Ability to work independently and maintain a high level of accuracy in a fast-paced environment
Complete Job Description
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