FINRA Licensed Client Services Supervisor

Job Summary

A company is looking for a Registered Brokerage Client Services Supervisor.

Key Responsibilities

• Serve as the primary contact for clients and broker partners during overnight hours, addressing operational and technical issues
• Deliver exceptional service and oversee the resolution of operational and trading inquiries while ensuring compliance with regulations
• Assist in developing and enhancing client service procedures and support overnight brokerage functions

Required Qualifications

• 3+ years of experience in a brokerage client service role within the securities industry
• Active FINRA Series 7 and 24 licenses
• Deep understanding of brokerage operations and regulatory requirements
• Strong analytical and leadership skills
• Ability to exercise sound independent judgment within established guidelines