Financial Services Professional

About

Looking for professionals with an active Series 7 license and brokerage/compliance or risk experience to handle client inquiries, manage escalated FINRA complaints, and support brokerage operations.

Key Responsibilities

• Handle client queries related to brokerage accounts, transactions, and investments
• Manage and resolve escalated FINRA complaints
• Perform operational tasks (account maintenance, trade corrections, documentation)
• Ensure compliance with regulations and internal controls
• Collaborate with advisors and internal teams to resolve issues and improve processes

Required Qualifications

• Series 7 certified (mandatory)
• Experience in brokerage, compliance, QA, or risk
• Strong analytical, communication, and problem-solving skills
• Comfortable working in a fast-paced, deadline-driven environment