Advanced Brokerage Operations Professional, Licensed
Core
Answering incoming calls, processing new account documents, maintenance requests, transfers, distributions, and complex non-routine transactions for brokerage clients.
Role type
Licensed brokerage operations professional
Builds
Account services and transaction processing for brokerage members and field professionals
Domain
Financial services / Brokerage operations
Deliverable
client delivery
Required skills
FINRA Series 7, 63, 65, or 66 license; MS Excel; MS Word; financial reporting tools
Preferred skills
None stated
Technologies
NFS, Thrivent systems
Responsibilities
Answering member and field phone calls; analyzing and processing complex new business and service transactions; managing workflow and providing functional coverage; analyzing, approving, and ensuring timely service for accounts; providing detailed and accurate communications regarding account operational status
Seniority
Entry-level, 1-2 years experience
