Principal Review Desk Specialist

Russell Tobin; Buffalo (NY); Hybrid; USD 70,000 - 95,000; Full time

Benefits offered by this job

Comprehensive healthcare coverage

Retirement savings plan (401(k))

Life & disability insurance

Employee assistance program

Job summary

PrideGlobal is hiring a Principal Review Desk Specialist to support a leading financial services organization in Buffalo, NY or Miami, FL. This hybrid role requires 2 days per week in the office and focuses on retail brokerage account openings, principal review activities, documentation, and regulatory workflows with internal stakeholders.

Requirements include at least 2+ years in financial services and active Licenses: Series 24 OR Series 9/10, plus SIE, Series 7, and Series 63.

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

Job description

Principal Review Desk Specialist – Financial Services

Russell Tobin is hiring for a Principal Review Desk Specialist to support a leading financial services organization.

Buffalo, NY or Miami, FL

Hybrid - 2 days/week in office

We’re looking for an experienced financial services professional with strong operational, administrative, and compliance skills. This role supports retail brokerage account openings, principal review activities, documentation, and regulatory workflows while working closely with internal stakeholders.

What You’ll Do

• 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

What We’re Looking For

• 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.

PrideGlobal and it's affiliates offers eligible employee's comprehensive healthcare coverage (medical, dental, and vision plans), supplemental coverage (accident insurance, critical illness insurance and hospital indemnity), 401(k)-retirement savings, life & disability insurance, an employee assistance program, legal support, pet insurance and employee discounts with preferred vendors.

PrideGlobal and it's affiliates are an equal opportunity employer. We do not discriminate on the basis of the race, religious creed, color, national origin, ancestry, physical disability, mental disability, reproductive health decision making, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, veteran or military status, or any other characteristic protected by applicable federal, state, or local law.

PrideGlobal and it's affiliates are a Fair Chance employer. We consider all qualified applicants, including those with criminal histories, in a manner consistent with applicable state and local Fair Chance laws and ordinances, including, the California Fair Chance Act and all applicable local Fair Chance ordinances.

Accommodations

We are committed to providing reasonable accommodations to applicants and employees with disabilities. If you require a reasonable accommodation to participate in the application or interview process, or to perform the essential functions of this role, please contact us.

Only applicable for San Francisco Candidates : Under the San Francisco Lactation in the Workplace Ordinance, we will provide written notice of lactation accommodation rights, and this notice will automatically be given upon hiring, any inquiry of parental leave or lactation accommodation