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Senior Brokerage Operations Associate
A company is looking for a Sr. Brokerage Operations Associate, responsible for supporting core business functions and improving operational processes. Key Responsibilities Perform operational activities between the broker/dealer and clearing firm, including daily report reviews and processing check deposits Handle requests in the Operations Queue and email inbox, serving as a point of contact for advisor and custodian teams Collaborate on regulatory support, including running reports for audits and maintaining operational records Required Qualifications 4-year degree preferred 3-5 years of financial industry experience FINRA Series 7 and SIE certifications required; Series 24 preferred Strong process management skills Proficient with Microsoft Office
A company is looking for a Sr. Brokerage Operations Associate, responsible for supporting core business functions and improving operational processes.
Key Responsibilities
Perform operational activities between the broker/dealer and clearing firm, including daily report reviews and processing check deposits
Handle requests in the Operations Queue and email inbox, serving as a point of contact for advisor and custodian teams
Collaborate on regulatory support, including running reports for audits and maintaining operational records
Required Qualifications
4-year degree preferred
3-5 years of financial industry experience
FINRA Series 7 and SIE certifications required; Series 24 preferred
Strong process management skills
Proficient with Microsoft Office
