Operations Processing Specialist
Core
Processing and validating brokerage account documentation, including openings, transfers, and money movement, while ensuring regulatory compliance.
Role type
Operations Processing Specialist
Builds
Brokerage account documentation and transaction records
Domain
Financial Services / Brokerage Operations
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
document review, transaction validation, regulatory compliance (KYC/AML), data entry accuracy, phone communication, Microsoft Excel, policy interpretation
Preferred skills
FINRA SIE exam, FINRA Series 7, Envestnet platform experience, brokerage operations experience, Bachelor's degree in Finance
Technologies
Windows, Microsoft Excel, Microsoft Word, Microsoft Outlook
Responsibilities
Process brokerage account documents with accuracy; Review incoming documentation for completeness; Validate transactions against firm policies and regulations; Identify and resolve discrepancies; Maintain precise records and audit trails; Answer inbound calls from financial professionals; Provide status updates to external partners; Collaborate with internal teams to resolve inquiries
Seniority
Entry-level / New Graduates