About this role
Role Overview
- Responsible for reviewing, releasing or escalating flagged live orders
- Executing trades and filing required regulatory reports
- Assisting advisors with all aspects of trading operations
- Collaborating with the manager to develop and maintain trading rules and configure trade system settings in NetX360
- Managing brokerage trade corrections and ensuring timely resolution and compliance with regulatory requirements
Requirements
- An undergraduate degree in a relevant field is preferred
- 3+ years industry experience
- Series 7 and 24 certification
- Ability to be eligible for employment under standards established by FINRA
- Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search
Benefits
- Health and well-being benefits
- Savings and retirement programs
- Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
- Banking benefits and discounts
- Career development and reward recognition