Brokerage Services Registered Analyst – Series 7, 63

This is a fully remote position, open to applicants in Florida, +6 more states.

📋 Description

• Deliver consultative services to clients and advisors on investment strategies.

• Act as a specialist in mutual fund trading, brokerage account servicing, cost basis, and tax reporting.

• Utilize industry expertise to tackle complex issues and enhance critical-thinking abilities.

• Partner with department leaders and NM Wealth business collaborators to promote product improvements.

• Acquire new knowledge and assist others in adapting to industry changes.

• Function as the primary liaison for designated NM Investment home-office clients.

• Respond to inquiries regarding investment accounts and products.

• Evaluate, enter, and oversee investment transactions, such as trade executions, transfers, and account maintenance.

• Ensure the precision and compliance of transactions.

• Stay updated on industry trends, investment offerings, and regulatory standards.

• Inform clients and field partners about digital and self-service options.

• Contribute to efforts aimed at continuous improvement and client retention.

⛳️ Requirements

• Possession of FINRA Series 6 or 7 and 63-equivalent licenses (65 or 66).

• An associate degree in business or a related field, or an equivalent mix of education and experience.

• At least 3 years of relevant experience in financial services.

• Exceptional customer service, written, and verbal communication abilities.

• Intermediate knowledge of tax implications associated with investments.

• A strong commitment to ongoing learning and development.

• Excellent problem-solving and scenario analysis capabilities.

• Proficiency in providing solutions.

• Series 63 - FINRA.

• Series 7 - FINRA.

• SIE - FINRA.

• Requires fingerprinting.

• Must safeguard customer privacy and confidentiality while adhering to relevant legal and regulatory data management requirements.

• Understanding of investment products, financial markets, investment principles, and associated regulations.

• Capability to implement compliance standards, policies, processes, and procedures.

🏝️ Benefits

• Competitive salary and performance-based incentives.

• Comprehensive health, dental, and vision insurance plans.

• Generous paid time off and holiday leave.

• Opportunities for professional development and continuing education.

• Retirement savings plan with company matching contributions.

• Flexible working arrangements and a supportive work environment.