FINRA Series 7 Licensed Client Associate

Job Summary

To support a growing Fintech firm, the remote Brokerage Client Service Associate will manage client and broker partner inquiries, handle brokerage questions 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 diverse range of brokerage questions, including account services, trading, transfers, and operations
• Submit and process operational requests, including order entry and account maintenance, while collaborating 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