wealthfront - Brokerage Operations Specialist

Remote - USA1mo ago

Remote Mid NA Government Securities Sales Agent Wealth Manager Reporting Quality Control

Requirements

• Minimum of 2 years brokerage industry experience preferably in a back office role • Securities regulatory knowledge and strong understanding of account transfers, corporate actions/dividends, and trading • Understanding of AML and risk mitigation rules • Customer-centric business philosophy and collaborative mindset • Ability to communicate cross-functionally • Appreciation and understanding of applying technology and software to business processes • Desire to improve processes to increase team efficiency and productivity • Strong work ethic and hands-on approach • Ability to quickly learn proprietary web-based account services applications • Appreciation for compliance and adherence to government regulations • Bachelor's degree in finance, economics, or related field or requisite related work experience • FINRA Series 7 required (or ability to obtain in 90 days)

Responsibilities

• Complete daily brokerage operations exception reports including unreconciled activity, margin, corporate actions, etc. • Conduct quality control reviews and regulatory document delivery reconciliation • Perform cashiering duties including verification of incoming wires, checks, ACHs and process withdrawal requests • Provide ongoing account maintenance and review of new and existing account activity for risk mitigation related to AML • Collaborate cross-functionally with other teams at the company, specifically creating strong relationships with engineers • Certain in office tasks as the business requires