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FINRA Series 7 Client Service Associate
A company is looking for a Registered Brokerage Client Service Associate (Support). Key Responsibilities Assist clients and broker partners as the first point of contact for service needs and issues Process operational requests such as funds distributions, account updates, and ACATs initiation Research and respond to client issues related to form submissions and transfers Required Qualifications One to two years of experience in the securities industry FINRA Series 7 license Experience with FINRA, Federal, and SEC regulations Ability to collaborate effectively in a remote team environment Basic understanding of KYC and client onboarding processes
A company is looking for a Registered Brokerage Client Service Associate (Support).
Key Responsibilities
Assist clients and broker partners as the first point of contact for service needs and issues
Process operational requests such as funds distributions, account updates, and ACATs initiation
Research and respond to client issues related to form submissions and transfers
Required Qualifications
One to two years of experience in the securities industry
FINRA Series 7 license
Experience with FINRA, Federal, and SEC regulations
Ability to collaborate effectively in a remote team environment
Basic understanding of KYC and client onboarding processes