Premier Brokerage Associate (Finance)

TL;DR

Premier Brokerage Associate (Finance): Managing inbound client requests for retail brokerage products and executing trades for equities, ETFs, and mutual funds with an accent on regulatory compliance and exceptional client service. Focus on navigating complex brokerage systems, ensuring FINRA compliance, and identifying new business opportunities for the advisor team.

Location: Remote (Must be based in the US and authorized to work for any US employer)

Salary: $50,300 - $69,125

Company

Financial services company focusing on transforming financial lives through flexible retirement and investment solutions.

What you will do

• Handle inbound calls from retail customers, explaining financial concepts and retail products clearly.
• Execute trades for Equity, ETF, Mutual Funds, Options, and Fixed Income securities.
• Manage account openings, asset movements, and general maintenance for retail products.
• Ensure strict adherence to FINRA regulatory requirements, exchange rules, and tax implications.
• Identify leads and opportunities to drive new business for the Retirement Advisor Team.

Requirements

• Active FINRA Series 7 and Series 63 licenses required.
• Must be authorized to work in the U.S. (no sponsorship available, including CPT/OPT).
• 2+ years of customer service experience, preferably in financial services or high-volume call centers.
• Strong knowledge of equities, fixed income, and options trading.
• Availability to work specific time zone shifts: ET (11:30 AM - 8:00 PM), CT (10:30 AM - 7:00 PM), or MT (9:30 AM - 6:00 PM).

Nice to have

• Experience with Retail, IRA, and/or 401K customer service.
• Past brokerage and mutual fund trading experience.
• Prior remote work experience.

Culture & Benefits

• Comprehensive medical, dental, vision, and life insurance.
• 401(k) plan with company matching contributions up to 6%.
• Tuition reimbursement up to $5,250 per year.
• Generous paid time off, including 10 company holidays and 3 floating holidays.
• 16 hours of paid volunteer time per calendar year.
• Inclusive work environment with Business Resource Groups (BRGs).