FINRA Series 7 Licensed Associate

Job Summary

A company is looking for a Registered Brokerage Client Service Associate (Support).

Key Responsibilities

• Assist clients and broker partners with service needs and issues as the first point of contact
• Process operational requests and ensure accurate submission of new business paperwork
• Research and resolve client issues related to form submissions, transfers, and other operational items

Required Qualifications

• 1-2 years of experience in the securities industry
• FINRA Series 7 license
• Experience with FINRA, Federal, and SEC regulations
• Basic understanding of KYC and client onboarding processes
• Ability to adapt to a changing business and regulatory environment