Brokerage Specialist – Analyst

Role Overview

• Responsible for ensuring risk and compliance standards are developed and followed in contact center
• Participates in initiatives, projects, and oversight activities to enhance quality and efficiency of contact center
• Provides analytical oversight for business product lines
• Reviews and ensures compliance with annual procedure audits
• Applies understanding of internal controls to help identify and mitigate risk
• Gathers data to inform operational results and areas of key risk and business oversight
• Communicates with clients or internal staff to process adjustments for client trading and reporting while maintaining compliance standards
• Provides oversight for overall trading activity for department
• Identifies, coordinates, develops, and deploys moderately complex Learning and Development programs that support more junior contact center team members in obtaining licensing
• Reviews contact center licensing processes, policies, and procedures and provides insight into the efficiency and effectiveness of delivered solutions

Requirements

• Bachelor's degree or the equivalent combination of education and relevant experience
• 2+ years of total relevant work experience
• SIE, Series 7, Series 63, Series 24, and on an as-needed basis, will support Series 4 and/or Series 52 and Series 53 licenses
• 2 – 3 years Financial Services experience preferred
• Successfully manage a high volume of tasks with tight deadlines, ensuring timely completion of deliverables

Benefits

• Competitive compensation
• Annual bonus eligibility
• A generous retirement plan
• Hybrid work schedule
• Health and wellness benefits, including online therapy
• Paid time off for vacation, illness, medical appointments, and volunteering days
• Family care resources, including fertility and adoption benefits