Brokerage Compliance & Client Resolution Specialist

Mindlance; Missouri; Hybrid; USD 55,000 - 75,000; Full time

Job summary

Mindlance in St Louis, MO, is seeking professionals with expertise in brokerage operations and complaint resolution to join a fast-paced financial services team. Responsibilities include managing escalated complaints, resolving client issues, and ensuring compliance with FINRA regulations.

The ideal candidate holds an active FINRA Series 7 License and possesses strong analytical, communication, and problem-solving skills. This hybrid role offers flexibility and the possibility of extension or conversion.

Qualifications

• Active FINRA Series 7 License is mandatory.
• Experience in brokerage operations or client support is essential.
• Strong analytical, communication, and problem-solving skills are required.

Responsibilities

• Handle escalated FINRA and brokerage-related complaints.
• Research, investigate, and resolve complex client issues.
• Draft professional written responses and resolutions for clients.
• Review account activity, transactions, and service interactions.
• Partner with internal teams to ensure timely complaint resolution.
• Maintain compliance with FINRA regulations and internal policies.

Skills

Brokerage operations

Complaint resolution

Client support

Analytical skills

Communication skills

Problem-solving skills

Education

Active FINRA Series 7 License

Job description

Mindlance in St Louis, MO, is seeking professionals with expertise in brokerage operations and complaint resolution to join a fast-paced financial services team. Responsibilities include managing escalated complaints, resolving client issues, and ensuring compliance with FINRA regulations.

The ideal candidate holds an active FINRA Series 7 License and possesses strong analytical, communication, and problem-solving skills. This hybrid role offers flexibility and the possibility of extension or conversion.