Brokerage Client Service Associate FINRA Series 7
Company: VirtualVocations
Location: Mission Viejo
Posted on: November 14, 2024
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Job Description:
A company is looking for a Brokerage Client Service Associate to
assist clients and broker partners with service needs and
operational tasks.
Key Responsibilities
Serve as the first point of contact for clients and broker partners
on service needs and issues
Process operational requests such as funds distributions, account
updates, and ACATs initiation
Collaborate with internal teams to resolve client issues and ensure
accurate submission of new business paperwork
Required Qualifications
One to two years of experience in the securities industry
FINRA Series 7 license or ability to obtain within the first 3
months of employment
Experience with FINRA, Federal, and SEC regulations
Ability to adapt to a changing business and regulatory
environment
Experience in client onboarding processes
Keywords: VirtualVocations, Moreno Valley , Brokerage Client Service Associate FINRA Series 7, Other , Mission Viejo, California
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