FINRA Licensed Operations Team Leader

Job Summary

A company is looking for an Operations Cashiering and Advisory Team Leader.

Key Responsibilities

• Oversee and manage Cashiering and Advisory Operations Teams, ensuring effective queue management
• Maintain vendor relationships and resolve related issues while providing ongoing support for advisory accounts
• Handle processing queues, regulatory training, and provide dedicated support to Financial Professionals and Field Management

Required Qualifications

• Bachelor's Degree preferred or equivalent experience required
• 5-7 years of experience in a broker/dealer within operations
• FINRA SIE, Series 99, and Series 7 licenses required; Series 24 preferred
• Expert knowledge of Pershing NetX, Advice Pay, and Envestnet platforms
• Knowledge and understanding of the financial services industry