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
Registered Principal Brokerage Analyst in workfromhome at Unknown Company
This position is listed as full time and able to be worked remotely.