FINRA Series 7 Licensed Associate
A company is looking for a Registered Brokerage Client Service Associate (Support). Key Responsibilities Assist clients and broker partners with service needs and issues as the first point of contact Process operational requests and ensure accurate submission of new business paperwork Research and resolve client issues related to form submissions, transfers, and other operational items Required Qualifications 1-2 years of experience in the securities industry FINRA Series 7 license Experience with FINRA, Federal, and SEC regulations Basic understanding of KYC and client onboarding processes Ability to adapt to a changing business and regulatory environment
A company is looking for a Registered Brokerage Client Service Associate (Support).
Key Responsibilities
Assist clients and broker partners with service needs and issues as the first point of contact
Process operational requests and ensure accurate submission of new business paperwork
Research and resolve client issues related to form submissions, transfers, and other operational items
Required Qualifications
1-2 years of experience in the securities industry
FINRA Series 7 license
Experience with FINRA, Federal, and SEC regulations
Basic understanding of KYC and client onboarding processes
Ability to adapt to a changing business and regulatory environment
