FINRA Licensed Sales Support Analyst
A company is looking for a Broker Dealer Operations Sales Support Analyst II. Key Responsibilities Handle pre- and post-sale calls and requests from customers and PFRs regarding various financial accounts Place trades on multiple securities and serve as a liaison between PFR and clearing firm Ensure compliance with FINRA regulations and maintain records for brokerage accounts Required Qualifications FINRA Series Industry Exam (SIE), Series 7 and 63 required or ability to acquire them Knowledge of securities industry rules, regulations, and market trading functionality Ability to work independently and collaboratively within a team Bachelor's degree preferred Regular, predictable attendance is essential for this role
A company is looking for a Broker Dealer Operations Sales Support Analyst II.
Key Responsibilities
Handle pre- and post-sale calls and requests from customers and PFRs regarding various financial accounts
Place trades on multiple securities and serve as a liaison between PFR and clearing firm
Ensure compliance with FINRA regulations and maintain records for brokerage accounts
Required Qualifications
FINRA Series Industry Exam (SIE), Series 7 and 63 required or ability to acquire them
Knowledge of securities industry rules, regulations, and market trading functionality
Ability to work independently and collaboratively within a team
Bachelor's degree preferred
Regular, predictable attendance is essential for this role
