Principle Review Desk Specialist

Document Management: Maintain accurate digital records, files, and strict document control according to FINRA/SEC retention rules. Responsibilities: Account Onboarding: Open basic retail brokerage accounts and ensure all required documentation is complete and compliant.

Our Client, a Banking and Financial Services company, is looking for a Principle Review Desk Specialist for their Buffalo, NY/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?

• Health Benefits
• Referral Program
• Excellent growth and advancement opportunities