Job Description
Our Client, a Banking and Financial Services company, is looking for a Principle Review Desk Specialist for their Miami, FL/Hybrid location.
Responsibilities:- Account Onboarding: Open basic retail brokerage accounts and ensure all required documentation is complete and compliant.
- Communication & Routing: Handle incoming email and telephone inquiries; route complex requests to the appropriate team members.
- Document Management: Maintain accurate digital records, files, and strict document control according to FINRA/SEC retention rules.
- Content Production: Produce and format professional documents, including client letters, management reports, presentations, and spreadsheets.
- Data & Reporting: Execute basic data entry tasks and generate routine operational or compliance reports.
- Risk & Compliance: Ensure absolute compliance with organizational policies, client confidentiality, and data security requirements.
- Process Optimization: Identify operational bottlenecks, suggest process improvements, and help standardize routine administrative workflows.
Requirements:- Mandatory (Base): FINRA SIE, Series 7, and Series 63.
- Mandatory (Principal - Minimum of one required): Series 24 OR Series 9/10 (Both are highly acceptable).
- Preferred (Optional): Series 65 or Series 66 (Expands the scope of advisory responsibilities but not required for day-one tasks).
- Time Management: Strong organization skills with the ability to prioritize competing tasks in a fast-paced trading environment.
- Communication: Clear written and verbal communication, combined with strong interpersonal skills for stakeholder management.
- Problem Solving: Sharp lateral thinking and a proactive approach to resolving administrative blocks.
- Quality Control: Exceptional attention to detail and high accuracy in data entry and regulatory record-keeping.
Why Should You Apply?Numbers & Facts
| Location | Miami, FL |
| Salary | $57.25 Per Hour |
Skills
Banking Servicesunmatched
Brokerageunmatched
Communication Skillsunmatched
Data Entryunmatched
Detail Orientedunmatched
Document Controlunmatched
Document Managementunmatched
Documentationunmatched
Documentation Formatunmatched
Establish Prioritiesunmatched
Financial Servicesunmatched
Health Planunmatched
Information/Data Security (InfoSec)unmatched
Interpersonal Skillsunmatched
Maintain Complianceunmatched
Onboardingunmatched
Organizational Skillsunmatched
Presentation/Verbal Skillsunmatched
Problem Solving Skillsunmatched
Process Improvementunmatched
Quality Controlunmatched
Record Keepingunmatched
Regulationsunmatched
Retailunmatched
Riskunmatched
Securities and Exchange Commission (SEC)unmatched
Series 24unmatched
Series 65unmatched
Series 66unmatched
Series 7unmatched
Spreadsheetsunmatched
Time Managementunmatched
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