FINRA Series 7 Licensed Brokerage Specialist
Company: VirtualVocations
Location: Vista
Posted on: May 24, 2025
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Job Description:
A company is looking for a Brokerage Operations Specialist to
manage daily brokerage operations functions.
Key Responsibilities
Complete daily brokerage operations exception reports and conduct
quality control reviews
Perform cashiering duties and review New Account applications and
supporting documents
Collaborate cross-functionally with other teams and maintain
ongoing account activity for risk mitigation
Required Qualifications
Minimum of 2 years brokerage industry experience, preferably in a
back office role
Strong understanding of securities regulations, account transfers,
and trading
Knowledge of AML and risk mitigation rules
Bachelor's degree in finance, economics, or related field or
equivalent work experience
FINRA Series 7 required
Keywords: VirtualVocations, Orange , FINRA Series 7 Licensed Brokerage Specialist, Other , Vista, California
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