FINRA Licensed Quality Specialist

To ensure the accuracy and compliance of stock plan transactions, the full-time remote FINRA Licensed Quality Specialist will perform quality reviews of back-office operational processing functions, manage approvals and escalations, and collaborate with various teams to enhance operational efficiency. Key responsibilities Perform quality reviews of operational processing functions supporting Stock Plan Services and administer quality control standards Review and approve stock plan processing activities, ensuring compliance with established policies and procedures Identify trends in processing errors and recommend process improvements to enhance operational efficiency and risk management Required qualifications Bachelor's degree in Business, Finance, or a related field, or four additional years of financial services experience in lieu of a degree 3+ years of experience in brokerage services, brokerage operations, or stock plan services FINRA Series 7 and Series 24 registrations required Proficiency with Microsoft Office applications, including Excel, Word, and SharePoint Ability to work independently and maintain a high level of accuracy in a fast-paced environment