Adv Brokerage Operations Professional
Core
Answering incoming calls, processing new account documents, maintenance requests, transfers, and distributions for brokerage clients.
Role type
Brokerage Operations Professional
Builds
Operational support for brokerage accounts and client services
Domain
Financial Services / Brokerage Operations
Deliverable
client delivery
Required skills
Account transfer processing, regulatory compliance, workflow management, Microsoft Office proficiency, FINRA Series 7/63/65/66 licensing
Preferred skills
Bachelor's degree in Business/Finance/Economics, 3-5 years brokerage experience
Responsibilities
Analyze and process complex new business and service transactions, ensure compliance with internal and regulatory standards, provide accurate account status communications, maintain understanding of brokerage systems and policies
Seniority
Entry to Mid-level, hands-on IC