FINRA Series 24 Operations Manager
Job Summary
Leading a team of registered principals, the full-time FINRA Series 24 Operations Manager will oversee the review and approval of brokerage and advisory account applications, ensuring compliance with firm policies and regulatory requirements while working remotely.
Key Responsibilities
- Manage and develop registered principals responsible for reviewing and approving account applications
- Oversee the review process for new account applications to ensure completeness and compliance
- Serve as an escalation point for complex account-related issues and maintain supervisory controls
Required Qualifications
- 5-7 years of supervisory experience in a broker-dealer or compliance function
- FINRA Series 24 registration required
- Strong knowledge of suitability and supervisory practices, as well as FINRA/SEC requirements
- Ability to interpret regulations and firm policies for account-review decisions
- Experience with account-opening and suitability systems is preferred
Complete Job Description
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