FINRA Series 7 Licensed Brokerage Associate
Job Summary
As a key member of the New Accounts team, the remote FINRA Series 7 Licensed Brokerage Associate will manage account lifecycle tasks including onboarding, maintenance, and compliance-related projects while collaborating with cross-functional teams to enhance operational efficiency.
Key responsibilities:
- Process and support day-to-day accounts workflow throughout the account lifecycle, including onboarding and closures
- Own escheatment and abandoned property operations, as well as monthly statement and trade confirmation reviews
- Collaborate with various teams to translate operational challenges into actionable solutions and drive cleanup projects
Required qualifications:
- Active FINRA Series 7 registration
- 3+ years of experience in brokerage or financial services operations, particularly in new accounts or account maintenance
- Strong proficiency in Excel or Google Sheets for data analysis and reconciliation tasks
- Understanding of databases and operational data investigation for compliance and cleanup efforts
- Bachelor's degree or equivalent experience
Complete Job Description
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