FINRA Licensed Brokerage Associate

Wealth Enhancement Group, LLC; United States; Remote; USD 50,000 - 70,000; Full time

Job summary

A financial services firm seeks a Brokerage Operations Associate to work remotely. You'll handle operational activities, maintain compliance, and manage relationships with custodians. Candidates should have a college degree, 2+ years in the financial industry, and required FINRA licenses. Proficiency in Microsoft Office and strong process management skills are essential for this role.

Qualifications

• 2+ years of financial industry experience.
• FINRA Series 7 and SIE required; Series 24 preferred.

Responsibilities

• Perform operational activities between the broker/dealer and clearing firm.
• Handle requests in the Operations queue and email inbox.
• Facilitate relationships with custodians for compliance.

Skills

Process management

Microsoft Office

Education

College degree or equivalent work experience

Job description

A company is looking for a Brokerage Operations Associate (Remote).

Key Responsibilities

• Perform operational activities between the broker/dealer and clearing firm, including reviewing reports and processing deposits
• Handle requests in the Operations queue and email inbox, serving as a point of contact for advisor and custodian teams
• Facilitate relationships with custodians and support regulatory compliance through documentation and reporting

Required Qualifications

• College degree or equivalent work experience
• 2+ years of financial industry experience
• FINRA Series 7 and SIE required; Series 24 preferred
• Proficient with Microsoft Office
• Strong process management skills