FINRA Series 7 Client Service Associate

Job Summary

A company is looking for a Registered Brokerage Client Service Associate (Support).

Key Responsibilities

• Assist clients and broker partners as the first point of contact for service needs and issues
• Process operational requests such as funds distributions, account updates, and ACATs initiation
• Research and respond to client issues related to form submissions and transfers

Required Qualifications

• One to two years of experience in the securities industry
• FINRA Series 7 license
• Experience with FINRA, Federal, and SEC regulations
• Ability to collaborate effectively in a remote team environment
• Basic understanding of KYC and client onboarding processes