Highlights
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.
Numbers & Facts
| Location | Miami, FL |
| Industry | Management Consulting Services |
| Salary | $1–$56.47 Per Hour |
| Company Size | 2,000 to 2,499 employees |
| Year Founded | 2000 |
| Website | https://www.iconma.com/ |
Description
Our Client, a Banking and Financial Services company, is looking for a Principle Review Desk Specialist for their Buffalo, NY/Hybrid location.
Responsibilities:
Requirements:
Why Should You Apply?
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
Benefits
401K, Employee Referral Program, Life Insurance
About Company
ICONMA is a global information consulting management firm providing Professional Staffing Services and Project-Based Solutions for organizations in a broad range of industries.
- Corporate Headquarters in Troy, Michigan; 20+ locations worldwide.
- Certified Woman-Owned Business Enterprise (WBE); certified by Women’s Business Enterprise National Council, National Women Business Owners Corporation (NWBOC); and California Public Utilities Commission (CPUC).
- Founded in 2000
- 2000+ Employees
The company was founded on the principle that success is derived from delivering high quality service and resources in the most responsive, flexible, and innovative way. ICONMA invests in people and resources with a single goal: To provide our customers with the highest quality service in the most responsive manner. Through its network of offices, ICONMA provides the resources to help clients maintain their competitive advantage.