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FINRA Licensed Brokerage Operations Lead
A company is looking for a Brokerage Operations Team Lead - Remote. Key Responsibilities Support operational activities with clearing broker/dealer and resolve daily alerts Monitor and audit operational activities, ensuring compliance with regulations Provide advisor support and assist with onboarding new advisors to the clearing firm Required Qualifications 4-year degree preferred 5-10 years of financial industry experience FINRA Series 7 and SIE required; Series 24 preferred Strong process management skills Proficient with Microsoft Office
A company is looking for a Brokerage Operations Team Lead - Remote.
Key Responsibilities
Support operational activities with clearing broker/dealer and resolve daily alerts
Monitor and audit operational activities, ensuring compliance with regulations
Provide advisor support and assist with onboarding new advisors to the clearing firm
Required Qualifications
4-year degree preferred
5-10 years of financial industry experience
FINRA Series 7 and SIE required; Series 24 preferred
Strong process management skills
Proficient with Microsoft Office
