Brokerage Operations Associate II - New Accounts Principal
Supports brokerage account operations across onboarding, maintenance, compliance cleanup, escheatment, and control reviews. The role requires 3+ years of brokerage operations experience, Series 7 registration, strong spreadsheet and data investigation skills, and independent project ownership.
About the job
Responsibilities
- Process and support daily account workflows across onboarding, maintenance, updates, and closures.
- Own escheatment and abandoned property operations.
- Own monthly statement and trade confirmation reviews.
- Execute legacy cleanup and data hygiene projects to meet CIP requirements, including partner and user communications.
- Analyze spreadsheets, exports, operational lists, and databases to identify issues, scope remediation, and track progress.
- Support New Accounts analysts and the New Accounts Principal Manager on processing, data pulls, cleanup initiatives, and follow-through.
- Convert repeatable project work into efficient or automated ongoing workflows.
- Collaborate with Product, Engineering, Data, Compliance, and partner-facing teams to resolve operational issues.
Requirements
- Active FINRA Series 7 registration.
- 3+ years of brokerage or financial services operations experience, including areas such as new accounts, account maintenance, CIP/AML, escheatment, or statement review.
- Strong Excel or Google Sheets skills and experience with large lists, exports, and reconciliation work.
- Understanding of databases, tables, fields, and data relationships for operational investigations and cleanup.
- Ability to work independently, interpret priorities, and take ownership of queues and projects.
- Strong written and verbal communication skills.
- Attention to detail, accuracy, and reliability in a fast-paced remote environment.
- Exposure to AML frameworks, sanctions screening, or identity verification workflows.
- Technical fluency with APIs, data terminology, and basic system architecture; comfort working with Product and Engineering.
- Bachelor’s degree or equivalent experience.
Nice-to-haves
- FINRA Series 24 registration or willingness to pursue it.
- Experience with EDD, KYB, or business-entity account support.
- Experience with escheatment or abandoned property programs.
- Experience with statement review, trade confirmation review, or similar control workflows.
- Interest in using AI tools for drafting, summarization, and repetitive analysis.
- Experience in a B2B, API-driven, or correspondent brokerage model.
Compensation and Benefits
- Competitive salary and stock options.
- Health benefits.
- One-time USD $500 home-office setup benefit for new hires.
- USD $150 monthly stipend via a Brex Card.
Skills
Finra Series 7, Excel, Google Sheets, Databases, Cip, AML, Sanctions Screening, Identity Verification, APIs, Data Analysis
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