Brokerage Operations Specialist

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

📋 Description

• Assess new account applications and finalize the setup for new accounts.

• Manage contributions and execute suitability assessments for the Brokerage sector, when relevant.

• Perform daily evaluations of pending applications and customer inquiries.

• Offer status reports to both internal and external clients regarding applications, inquiries, and processing actions.

• Assist with recurring audits, reporting tasks, and monthly and quarterly operational projects.

• Compose customer communications concerning brokerage processing tasks.

• Collaborate with management to update procedures aimed at enhancing operational efficiency, accuracy, and thoroughness.

• Provide support for all aspects of Self-Directed Brokerage processing as necessary.

• Partner with Service, Sales, internal business associates, and external vendors to fulfill daily operational requirements.

• Handle escalated issues effectively.

⛳️ Requirements

• Bachelor’s degree in business or equivalent professional experience.

• 1–2 years of experience in the financial services sector.

• Required registrations include Series 7, Series 24, and Series 63 with FINRA.

• FINRA fingerprinting is a prerequisite.

• Proficient in advanced Microsoft Excel.

• Excellent written and verbal communication capabilities, strong organizational skills, and meticulous attention to detail.

• Capacity to handle multiple priorities and meet deadlines in a dynamic work environment.

• Ability to work collaboratively with colleagues, management, internal business partners, and external vendors.

• Experience in managing escalated situations.

• Capability to independently manage operational tasks.

• Applicants must be eligible to work for any employer in the U.S.; employment visa sponsorship is not available, including CPT/OPT.

• A reliable high-speed internet connection with a wired setup and a minimally disruptive home workspace is essential for remote work.

• Preferred experience in supporting brokerage operations, including new account processing, account maintenance, asset transfers, or Self-Directed Brokerage activities.

🏝️ Benefits

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

• Retirement savings options – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contributions, and a diverse investment lineup.

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

• A business-casual work environment that allows for jeans.

• Generous paid time off from the start, including a paid time off program, ten paid company holidays, and three floating holidays each calendar year.

• Paid volunteer time — 16 hours per calendar year.

• Leave of absence programs, including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA).

• Business Resource Groups (BRGs) – These groups promote inclusion and collaboration both within our organization and in the communities where we live, work, and play. BRGs are accessible to everyone.

• A flexible work environment.

• Opportunities for bonus programs for non-sales roles.

• A reliable high-speed internet connection and wired setup are required for remote work.

• Necessary computer equipment will be provided.