FINRA Licensed Sales Support Analyst
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Job Summary
Providing essential pre-sale and post-sale support, the fully remote FINRA Licensed Sales Support Analyst will assist Registered Representatives and clients with securities account inquiries, process requests, and execute trades while ensuring compliance with regulatory requirements.
Key Responsibilities
- Handle pre- and post-sale calls and requests related to various securities accounts
- Place trades on mutual funds, equities, and other securities while ensuring compliance with trading regulations
- Serve as a liaison between Registered Representatives and the clearing firm, facilitating account management and compliance
Required Qualifications
- FINRA Series Industry Exam (SIE), Series 7, and 63 required or ability to obtain within a specified timeframe
- Knowledge of the securities industry, including rules, regulations, and trading platforms
- Bachelor's degree preferred
- Excellent customer service skills and ability to work independently
- Analytical skills for reviewing and processing account documentation
Complete Job Description
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