Office Location: New York Buffalo, NY 14240
WTF/in-office/Hybrid: Hybrid. 2 days per week in office
Contract Duration: 12 months
Interview Process: In-person interview is preferred.
Role Overview
Looking for a Principle Review Desk Specialist with a minimum of 2 years of financial services experience. This role requires an active Series 24 or Series 9/10 license to support retail brokerage account openings, administrative workflows, and operational compliance. Provide day-to-day principal review and administrative support to ensure capacity for the running of the team and department. This role coordinates operational activities, manages sensitive client information, and supports stakeholders while ensuring strict regulatory compliance.
Licensing Requirements
- Mandatory (Base): FINRA SIE, Series 7, and Series 63.
- Mandatory (Principal – Minimum of one required): Series 24 OR Series 9/10 (Both are highly acceptable).
- Preferred (Optional): Series 65 or Series 66 (Expands the scope of advisory responsibilities but not required for day-one tasks).
Key Responsibilities
- Account Onboarding: Open basic retail brokerage accounts and ensure all required documentation is complete and compliant.
- Communication & Routing: Handle incoming email and telephone inquiries; route complex requests to the appropriate team members.
- Document Management: Maintain accurate digital records, files, and strict document control according to FINRA/SEC retention rules.
- Content Production: Produce and format professional documents, including client letters, management reports, presentations, and spreadsheets.
- Data & Reporting: Execute basic data entry tasks and generate routine operational or compliance reports.
- Risk & Compliance: Ensure absolute compliance with organizational policies, client confidentiality, and data security requirements.
- Process Optimization: Identify operational bottlenecks, suggest process improvements, and help standardize routine administrative workflows.
Skills and Competencies
- Time Management: Strong organization skills with the ability to prioritize competing tasks in a fast-paced trading environment.
- Communication: Clear written and verbal communication, combined with strong interpersonal skills for stakeholder management.
- Problem Solving: Sharp lateral thinking and a proactive approach to resolving administrative blocks.
- Quality Control: Exceptional attention to detail and high accuracy in data entry and regulatory record-keeping.
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