Principal (Financial Services Support)

Responsibilities

• Validate client documents for compliance, completeness, and accuracy
• Handle requests via phone, Service Center, or document management system including executing trades
• Maintain electronic client files and documentation on proprietary web-based software systems
• Provide high level of service and responsiveness to customers to ensure satisfaction
• Suggest and implement new policies and procedures based on business and regulatory changes
• Determine appropriateness of client accounts and trades
• Recommend policies for approving or declining suitability of accounts and trades

Requirements

• 1-2 years minimum of related experience
• Proficiency in Microsoft Word, Excel, Outlook, and PowerPoint
• FINRA Series 7 & 24 license
• Strong customer focus orientation and attention to detail
• Ability to work independently and meet departmental deadlines
• Excellent communication and organizational skills

Preferred Qualifications

• 3+ years of experience in financial services operations or broker-dealer setting
• Bachelor's degree in business, Finance, or a related field
• CRM or Salesforce experience
• Completion of FINRA SIE exam

Benefits

• Health, vision, and dental insurance
• 401k plan
• Paid time away
• Volunteer days