Brokerage Associate

TSR Consulting; Buffalo (NY); Hybrid; USD 75,000 - 95,000; Full time

Job summary

TSR Consulting seeks a Principal Review Desk Specialist in Buffalo, NY. The role focuses on retail brokerage operations, principal review, and regulatory compliance, including onboarding support, document control, and maintaining operational controls.

The position requires handling client documentation, data entry, and producing reports while ensuring FINRA/SEC alignment; strong communication and stakeholder management are essential.

Qualifications

• Minimum 2 years of financial services experience supporting retail brokerage operations.
• Active FINRA SIE, Series 7, and Series 63 licenses.
• Active principal license: Series 24 or Series 9/10.
• Proficiency in document control, data entry accuracy, and records retention standards.
• Strong analytical and problem-solving abilities with sound judgment in a regulatory setting.
• Excellent written and verbal communication and stakeholder management.

Responsibilities

• Open basic retail brokerage accounts and confirm completeness and compliance of documentation.
• Handle incoming email and telephone inquiries and route complex requests appropriately.
• Maintain accurate digital records and enforce document control per FINRA and SEC retention requirements.
• Produce and format client letters, management reports, presentations, and spreadsheets.
• Execute data entry tasks and generate routine operational and compliance reports.
• Ensure compliance with policies, client confidentiality, and data security requirements.
• Identify process bottlenecks and recommend improvements to standardize workflows.

Skills

Regulatory compliance

Financial services

Data entry accuracy

Document control

Analytical thinking

Written & verbal communication

Stakeholder management

Job description

Job Title: Principal Review Desk Specialist

Locations: Buffalo, NY 14210 (Hybrid. 2 days per week in office)

Job Type: Contract - 12 months

Description

We are seeking a Principal Review Desk Specialist to join our dynamic team. The ideal candidate will have strong experience in retail brokerage operations, principal review, and regulatory compliance and a proven ability to support account onboarding, manage sensitive client documentation, and maintain operational controls.

Responsibilities

• Open basic retail brokerage accounts and confirm completeness and compliance of documentation.
• Handle incoming email and telephone inquiries and route complex requests appropriately.
• Maintain accurate digital records and enforce document control per FINRA and SEC retention requirements.
• Produce and format client letters, management reports, presentations, and spreadsheets.
• Execute data entry tasks and generate routine operational and compliance reports.
• Ensure compliance with policies, client confidentiality, and data security requirements.
• Identify process bottlenecks and recommend improvements to standardize workflows.

Required Skills & Qualifications

• Minimum 2 years of financial services experience supporting retail brokerage operations.
• Active FINRA SIE, Series 7, and Series 63 licenses.
• Active principal license: Series 24 or Series 9/10.
• Proficiency in document control, data entry accuracy, and records retention standards.
• Strong analytical and problem-solving abilities with sound judgment in a regulatory setting.
• Excellent written and verbal communication and stakeholder management.

Preferred Skills

• Series 65 or Series 66.
• Experience producing client communications and management reporting packages.