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

Apr 30, 2025 - 23:36
 0
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