FINRA Series 7 Licensed Brokerage Specialist

Job Summary

A company is looking for a Brokerage Operations Specialist to manage daily brokerage operations functions.

Key Responsibilities

• Complete daily brokerage operations exception reports and conduct quality control reviews
• Perform cashiering duties and review New Account applications and supporting documents
• Collaborate cross-functionally with other teams and maintain ongoing account activity for risk mitigation

Required Qualifications

• Minimum of 2 years brokerage industry experience, preferably in a back office role
• Strong understanding of securities regulations, account transfers, and trading
• Knowledge of AML and risk mitigation rules
• Bachelor's degree in finance, economics, or related field or equivalent work experience
• FINRA Series 7 required