Brokerage Operations Quality Specialist

This is a fully remote position, open to applicants in United States.

📋 Description

• Deliver precise quality outcomes and implement quality control standards for Brokerage operations.

• Evaluate and authorize new account enrollments, maintenance tasks, ACH setups, distributions, and incoming account transfers.

• Sanction pending transactions as part of the quality assessment process.

• Recognize processing patterns and relay them to management along with suggested improvements.

• Address escalated and intricate service-related issues.

• Educate and guide brokerage representatives.

• Serve as a Subject Matter Expert for Self-Directed Brokerage plan conversions and maintenance, encompassing setup, transactions, and research.

• Assist in addressing requests from FINRA, SEC, and Internal Audit.

• Reduce brokerage business risks through trading and security evaluations.

• Detect gaps in processes and procedures, and flag AML and fraudulent account activities.

⛳️ Requirements

• Bachelor's degree or an equivalent combination of education and relevant work experience.

• Over 1 year of experience in brokerage services or operations.

• FINRA Series 7 registrations are mandatory.

• FINRA fingerprinting is required.

• Experience with NetX 360/Pershing is an advantage.

• Basic proficiency in Microsoft Office is necessary.

• Demonstrated knowledge of brokerage operations and the industry.

• Exceptional communication and organizational abilities with a keen attention to detail.

• Capability to manage multiple tasks and prioritize workload in a fast-paced environment to meet deadlines.

• Ability to work collaboratively with Service, Sales, internal business partners, and external vendors.

• Applicants must be authorized to work for any employer in the U.S.

• A reliable high-speed internet connection with a wired setup and a suitable home office space is required.

🏝️ Benefits

• Medical, dental, vision, and life insurance coverage.

• 401(k) plan featuring generous company matching contributions (up to 6%).

• Access to financial advisory services.

• Potential for company discretionary contributions.

• A wide array of investment options.

• Tuition reimbursement up to $5,250 per year.

• A business-casual work environment, including the option to wear jeans.

• Generous paid time off from the start of employment.

• Ten paid company holidays and three floating holidays each calendar year.

• Paid volunteer time amounting to 16 hours per calendar year.

• Paid parental leave.

• Paid short- and long-term disability benefits.

• Family and Medical Leave (FMLA) provisions.

• Participation in Business Resource Groups (BRGs).

• Support for reliable high-speed internet and home workspace for remote and hybrid roles.

• Necessary computer equipment will be supplied.