Brokerage Operations Specialist - Trading & Client Services

First Citizens Wealth; Raleigh (NC); On-site; USD 60,000 - 85,000; Full time

Job summary

First Citizens Wealth is seeking an Operations Support professional to provide essential brokerage operations support for financial planning associates and clients in Raleigh. You will help answer operational inquiries, process trading requests, and ensure accurate documentation and timely actions.

The role requires a Bachelor’s degree or HS diploma with 2 years in financial services, and the ability to obtain Series 7, 63/65 or 66 and life/health licenses within 180 days.

Qualifications

• Bachelor's Degree or HS Diploma with 2 years in Financial Services or Brokerage required.
• Must obtain Series 7, Series 63 and Series 65/66 or 66 and state licenses (life/health) within 180 days.
• Strong communication and customer service skills.
• Familiarity with documentation, filing and regulatory/compliance processes.

Responsibilities

• Operations Support: handle client service questions, resolve issues, support timely projects, process trading requests.
• Account Servicing: create/update client accounts, process money movement requests and documentation.
• Documentation: file and maintain forms, assist in compliance file processing.
• Collaboration: work with associates, management, clients, and business teams to meet deadlines.

Skills

Experience in Financial Brokerage Ops

Communication (Written & Verbal)

Customer service

Document & Records Management

Operational Excellence

Sales Support

Education

Bachelor's Degree OR HS Diploma / GED + 2 years in Financial Services or Brokerage

Job description

First Citizens Wealth is seeking an Operations Support professional to provide essential brokerage operations support for financial planning associates and clients in Raleigh. You will help answer operational inquiries, process trading requests, and ensure accurate documentation and timely actions.

The role requires a Bachelor’s degree or HS diploma with 2 years in financial services, and the ability to obtain Series 7, 63/65 or 66 and life/health licenses within 180 days.