Brokerage Operations Specialist

A company is looking for a Brokerage Operations Specialist to manage daily brokerage operations and client communications regarding life events.



Key Responsibilities

Own the client communication experience related to life events
Complete daily brokerage operations exception reports and conduct quality control reviews
Perform cashiering duties and collaborate cross-functionally with other teams


Required Qualifications

Minimum of 2 years brokerage industry experience, preferably in a back office role
Strong understanding of securities regulations and account transfers
Knowledge of AML and risk mitigation rules
Bachelor's degree in finance, economics, or related field, or equivalent work experience
FINRA Series 7 required or ability to obtain within 90 days