FINRA Licensed Sales Support Analyst

Job Summary

A company is looking for a Broker Dealer Operations Sales Support Analyst II.

Key Responsibilities

• Handle pre- and post-sale calls and requests from customers and PFRs regarding various financial accounts
• Place trades on multiple securities and serve as a liaison between PFR and clearing firm
• Ensure compliance with FINRA regulations and maintain records for brokerage accounts

Required Qualifications

• FINRA Series Industry Exam (SIE), Series 7 and 63 required or ability to acquire them
• Knowledge of securities industry rules, regulations, and market trading functionality
• Ability to work independently and collaboratively within a team
• Bachelor's degree preferred
• Regular, predictable attendance is essential for this role