FINRA Licensed Principal
Virtual Vocations Inc
To support a growing customer service team in financial services, the full-time FINRA Licensed Principal will engage with over 11,000 Financial Professionals, validating client documents for compliance and providing exceptional service in a remote environment. Key responsibilities: Validate client documents for compliance, completeness, and accuracy while executing trades as needed Maintain electronic client files and documentation on a proprietary web-based software system Provide high-level service and responsiveness to ensure client satisfaction and implement new policies based on business and regulatory changes Required qualifications: 1-2 years of related experience in financial services operations Proficiency in Microsoft Office Suite (Word, Excel, Outlook, PowerPoint) Completion of FINRA SIE exam and possession of FINRA Series 7 license or other FINRA licenses High school diploma or equivalent; bachelor's degree preferred Strong customer focus orientation and attention to detail
Vacancy posted 3 days ago
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