Senior Brokerage Operations Associate

Job Summary

A company is looking for a Sr. Brokerage Operations Associate, responsible for supporting core business functions and improving operational processes.

Key Responsibilities

• Perform operational activities between the broker/dealer and clearing firm, including daily report reviews and processing check deposits
• Handle requests in the Operations Queue and email inbox, serving as a point of contact for advisor and custodian teams
• Collaborate on regulatory support, including running reports for audits and maintaining operational records

Required Qualifications

• 4-year degree preferred
• 3-5 years of financial industry experience
• FINRA Series 7 and SIE certifications required; Series 24 preferred
• Strong process management skills
• Proficient with Microsoft Office