FINRA Series 7 Licensed Associate

Job Summary

To support a growing fintech firm, the remote Brokerage Client Service Associate will assist clients and broker partners with service needs, handle brokerage inquiries across various functions, and process operational requests while ensuring compliance with industry regulations.

Key responsibilities

• Assist clients and broker partners as the first point of contact for service needs and issues
• Handle a variety of brokerage questions related to account services, trading, transfers, and funding
• Process operational requests and coordinate with internal teams to resolve client issues

Required qualifications

• One to two years of experience in the securities industry
• FINRA Series 7 license or ability to obtain within the first 6 months of employment
• Experience with FINRA, Federal, and SEC regulations
• Basic understanding of KYC and client onboarding processes
• Ability to collaborate effectively in a remote team environment