Principal Review Desk Specialist- #26-21524

Duration: 12 months contract (Hybrid, 2 days onsite) Job Description: Role overview Looking for a Principal Review Desk Specialist with a minimum of 2 years of financial services experience. This role requires an active Series 24 or Series 9/10 license to support retail brokerage account openings, administrative workflows, and operational compliance. Provide day-to-day principal review and administrative support to ensure capacity for the running of the team and department. This role coordinates operational activities, manages sensitive client information, and supports stakeholders while ensuring strict regulatory compliance. Licensing Requirements Mandatory (Base): Client 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). Key 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 Client/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. Skills and Competencies 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. Interview process: 2 rounds. Zoom interviews are ok. If hiring in Miami, FL, then in-person interview is preferred. About US Tech Solutions: US Tech Solutions is a global staff augmentation firm providing a wide range of talent on-demand and total workforce solutions. To know more about US Tech Solutions, please visit US Tech Solutions is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. AI Statement: By applying, you acknowledge that AI-assisted tools may be used during hiring.

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