Efficiently review and process various client requests, including account enrollments, distributions, transfers, and complex transactions such as estate settlements
Demonstrate expertise in Self-Directed Brokerage plan conversions and maintenance, managing setup, transactions, and research tasks with precision
Update and maintain client accounts across multiple platforms to ensure accurate and up-to-date information
Thoroughly review required legal documentation for completeness before initiating processing
Collaborate with clearing firm representatives, brokers/traders, colleagues, and other stakeholders, ensuring clear and effective communication to clarify information and address inquiries

Bachelor’s degree or an equivalent combination of education and professional work experience
1+ years of experience in brokerage services/operations
FINRA 7 registration required
FINRA fingerprinting required
NetX 360/Pershing experience a plus
Basic Microsoft Office knowledge; proven brokerage operations and industry knowledge

Medical, dental, vision and life insurance
Retirement savings – 401(k) plan with generous company matching contributions (up to 6%)
Tuition reimbursement up to $5,250/year
Business-casual environment that includes the option to wear jeans
Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
Paid volunteer time — 16 hours per calendar year
Leave of absence programs – including paid parental leave, paid short
and long-term disability, and Family and Medical Leave (FMLA)
Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.

Brokerage Operations Processing Specialist

Key skills