Brokerage Operations & Compliance Lead — Hybrid

Russell Tobin; Buffalo (NY); Hybrid; USD 76,000 - 77,000; Full time

Benefits offered by this job

Healthcare coverage

401(k) retirement savings

Life & disability insurance

Employee discounts

Job summary

Russell Tobin is hiring for a Principal Review Desk Specialist to support a leading financial services organization. The role focuses on retail brokerage account openings, principal review activities, documentation, and regulatory workflows, with a hybrid work arrangement.

The position requires 2+ years in financial services, active Series 24 or Series 9/10, plus SIE, Series 7 and Series 63 licenses. In Buffalo, NY or Miami, FL, it offers $55-56/hour on a 12-month contract.

Qualifications

• 2+ years of financial services experience.
• Active Series 24 OR Series 9/10 license – REQUIRED
• SIE, Series 7, and Series 63 – REQUIRED
• Strong understanding of brokerage operations and regulatory requirements
• Excellent attention to detail and quality control
• Strong written and verbal communication skills
• Ability to manage multiple priorities in a fast-paced environment
• Strong organizational and problem-solving skills
• Series 65 or Series 66 is a plus, but not required.

Responsibilities

• Support the opening and review of retail brokerage accounts
• Ensure account documentation is complete and compliant
• Provide day-to-day principal review and operational support
• Manage incoming inquiries and route complex requests appropriately
• Maintain accurate records and documentation in accordance with regulatory requirements
• Prepare reports, spreadsheets, presentations, and client communications
• Support compliance, data security, and confidentiality requirements
• Identify process improvements and help standardize administrative workflows

Skills

Financial services experience

Series 24 license

Series 9/10 license

SIE

Series 7

Series 63

Regulatory compliance

Job description

Russell Tobin is hiring for a Principal Review Desk Specialist to support a leading financial services organization. The role focuses on retail brokerage account openings, principal review activities, documentation, and regulatory workflows, with a hybrid work arrangement.

The position requires 2+ years in financial services, active Series 24 or Series 9/10, plus SIE, Series 7 and Series 63 licenses. In Buffalo, NY or Miami, FL, it offers $55-56/hour on a 12-month contract.