Brokerage Client Service Associate FINRA Series 7 - Mission Viejo California

Company: VirtualVocations
Location: Mission Viejo, California
Posted On: 11/15/2024

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 More...

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