Registered Principal Brokerage Analyst
Get new jobs like this one by email. Create a free account for job alerts and to save the jobs you like.
Job Summary
Serving as a subject matter expert and registered principal for self-directed brokerage products, the full-time remote Brokerage Product Operations Analyst will oversee operational activities, conduct supervisory reviews, and resolve complex issues while collaborating with various internal and external stakeholders.
Key responsibilities
- Perform supervisory reviews and principal-level oversight in compliance with regulatory requirements and company policies
- Oversee SDB brokerage processing, including account management and resolution of escalated issues
- Identify and mitigate operational, financial, and regulatory risks associated with brokerage transactions
Required qualifications
- Bachelor's degree in Business, Finance, or a related field, or equivalent experience
- Three or more years of financial services experience, particularly with brokerage products and operations
- FINRA Series 7, Series 24, and Series 63 registrations required
- Demonstrated knowledge of self-directed brokerage products and applicable securities regulations
- Ability to investigate and resolve complex brokerage and regulatory issues
Complete Job Description
The complete job description is available to members. Premium membership includes:
Full access to 39,098 remote jobs from human-vetted companies, updated daily
Resume Builder - AI-powered tool to craft, enhance, and tailor your resume to a specific job
Twice-monthly live group coaching and the full Remote Career Center
20% member discount on Career Services
Backed by a 30-day money-back guarantee
Company Company Name
Headquarters Headquarters
Founded Founded
Website
Wikipedia Wikipedia URL
BBB URL BBB URL
The company description is available to members. Go Premium for full access to every job and company profile in our remote jobs database, backed by a 30-day money-back guarantee.
