Principal

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

📋 Description

• Interact directly with customers, including over 11,000 Financial Professionals nationwide.

• Provide administrative and sales support for Investment Executives.

• Ensure compliance of transactions and related documentation.

• Assess client documents for compliance, completeness, and accuracy.

• Manage requests through phone, Service Center, or document management system, including executing trades when necessary.

• Adhere to established policies and procedures to guarantee accurate execution and timeliness in relation to market deadlines.

• Maintain electronic client files and documentation using proprietary web-based software.

• Deliver exceptional customer service and strive for client satisfaction.

• Propose and implement policies and procedures in response to business and regulatory changes.

• Evaluate the suitability of client accounts and trades.

• Advise on policies and procedures for the approval or rejection of account and trade suitability.

• Carry out additional duties as assigned.

⛳️ Requirements

• A minimum of a high school diploma or equivalent is required.

• At least 1-2 years of relevant experience.

• Proficiency in Microsoft Word, Excel, Internet Explorer, Outlook, and PowerPoint.

• Strong communication and organizational abilities.

• Basic technical skills to navigate various systems effectively.

• A strong customer service orientation.

• High attention to detail, analytical thinking, and problem-solving skills.

• Capability to work independently while maintaining high-quality standards.

• Ability to meet departmental expectations and deadlines consistently.

• Willingness to participate in and contribute to a team environment.

• FINRA Series 7 & 24 license is required.

• Preference for candidates with 3+ years of experience in financial services operations or a broker-dealer setting.

• A Bachelor's degree in business, Finance, or a related field is preferred.

• Experience with CRM/Salesforce is preferred.

• Completion of the FINRA SIE exam is preferred.

🏝️ Benefits

• Annual performance-based bonus.

• Health insurance coverage.

• Vision insurance.

• Dental insurance.

• 401k retirement plan.

• Paid time off.

• Volunteer days.