Principal
Core
Customer-facing role supporting Investment Executives by verifying compliance of transactions and documentation for Financial Professionals.
Role type
Senior IC customer service and sales support specialist
Builds
Best-in-class service interactions for 11,000+ Financial Professionals
Domain
Financial Services / Broker-dealer operations
Deliverable
client delivery
Required skills
document validation, trade execution, policy implementation, suitability assessment, CRM management, regulatory compliance
Preferred skills
FINRA Series 7 & 24 license, FINRA SIE exam completion, Salesforce/CRM experience, 3+ years in financial services operations
Technologies
Microsoft Word, Excel, Internet Explorer, Outlook, PowerPoint, proprietary web-based software
Responsibilities
Validate client documents for compliance, completeness, and accuracy; execute trades as needed; maintain electronic client files; suggest and implement new policies based on regulatory changes; determine appropriateness of client accounts and trades; recommend policies for approving or declining suitability of accounts and trades
Seniority
Mid-level, hands-on IC
