Brokerage Operations Specialist: Client & Advisor Support

Central Bank; Lexington (KY); On-site; USD 72,109 - 90,136; Full time

Benefits offered by this job

Health Insurance

Dental Insurance

Vision Insurance

401k Plan

Paid Vacation

Paid Holidays

Employee Stock Ownership Plan

Flexible Benefit Plan

Voluntary Life Insurance

Job summary

Central Investment Center in Lexington, KY seeks a Registered Operations Specialist to support Financial Advisors with sales and administrative duties. The role involves processing trades, preparing client materials, and maintaining client communications in line with FINRA guidelines.

Requires a Bachelor's degree or equivalent, FINRA licenses (Series 7/63; 24 preferred), and 2+ years in brokerage. Licenses preferred include Life Insurance.

Qualifications

• Bachelor’s degree or equivalent experience required.
• FINRA Series 7 and 63 licenses (24 license preferred) required/preferred.
• Life Insurance License preferred.
• Two+ years’ experience in brokerage industry required.

Responsibilities

• Assist all CIC Financial Advisors with daily sales support.
• Assist Director of Investments with oversight duties, including trade reviews and approvals.
• Process trade corrections.
• Act as a liaison between the Financial Advisors and their clients while following FINRA guidelines as a registered sales assistant.
• Provide telephone support for CIC Financial Advisors, schedule appointments, and prepare materials for client meetings.
• Aid Financial Advisors in preparing client illustrations, graphs, charts, reports for presentations.
• Prepare and complete client paperwork and follow up tasks to support the Financial Advisors.
• Assist with processing of business as levels dictate, including entering trades as instructed by a client or a registered representative.

Skills

Strong work ethic

Prioritize tasks

Planning and problem solving

Written and verbal communication

Dependability and accuracy

Time management

Customer service

Knowledge of investments

Education

Bachelor’s degree or equivalent experience

FINRA Series 7, 63 licenses (24 license preferred)

Life Insurance License preferred

Two+ years’ experience in brokerage industry

Job description

Central Investment Center in Lexington, KY seeks a Registered Operations Specialist to support Financial Advisors with sales and administrative duties. The role involves processing trades, preparing client materials, and maintaining client communications in line with FINRA guidelines.

Requires a Bachelor's degree or equivalent, FINRA licenses (Series 7/63; 24 preferred), and 2+ years in brokerage. Licenses preferred include Life Insurance.