FINRA Series 24 Operations Manager
virtual vocationsNew York, NY
FINRA Series 24 Operations Manager
L5
virtual vocationsNew York, NYtoday
Industries
Investment Banking and Securities IntermediationMiscellaneous IntermediationMiscellaneous Financial Investment ActivitiesLeading a team of registered principals, the full-time FINRA Series 24 Operations Manager will oversee the review and approval of brokerage and advisory account applications, ensuring compliance with firm policies and regulatory requirements while working remotely.
Key Responsibilities:
Manage and develop registered principals responsible for reviewing and approving account applications
Oversee the review process for new account applications to ensure completeness and compliance
Serve as an escalation point for complex account-related issues and maintain supervisory controlsRequired Qualifications 5-7 years of supervisory experience in a broker-dealer or compliance function
FINRA Series 24 registration required
Strong knowledge of suitability and supervisory practices, as well as FINRA/SEC requirements
Ability to interpret regulations and firm policies for account-review decisions
Experience with account-opening and suitability systems is preferred
Apply now
Level
SeniorL5
Location
New York, NY
Occupation
Financial Managers
Industry
Investment Banking and Securities Intermediation
Posted
today
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