What are the responsibilities and job description for the FINRA Operations Specialist position at Palmer Group?
Job Description
Our client, a thriving firm in Des Moines, is seeking a FINRA Operations Specialist to join their team. Ideal candidates must be highly adept at learning and growth opportunities in the investment industry and hold a FINRA Series 7 license. Those with industry experience, strong communication skills, a talent for developing relationships, and strong computer skills will be apt to succeed in this role!
Work model :What you will do :
- Assist and work alongside a lead advisor in carrying out their business tasks
- Deliver exceptional client service, fostering and maintaining positive client relationships
- Oversee the account opening and client onboarding process
- Address client needs by handling account openings, preparing and processing forms, and executing transactions as required
- Act as a reliable point of contact for clients, promptly addressing their needs and proactively communicating with them
- Conduct trades of stocks, bonds, and mutual funds at an individual account level for clients and the Firm
- Compile client information, including portfolio reports and materials for client meetings
- Send and track important documents using DocuSign and DocuPace software
- Assist in answering and directing phone calls to the appropriate person
- Develop, maintain, and enhance process documentation
- Minimum of 2 years of experience in the investment industry
- Must possess a Series 7 FINRA license
- Proficient in MS Office and adept at using multiple computer systems
- Excellent communication skills with the ability to collaborate and build strong client relationships
- Deliver exceptional customer service both internally and externally
- Proficient in MS Office and skilled in navigating various systems
- Capable of managing competing priorities and organizing workflow effectively
- Strong desire for continuous learning and professional growth
- Health, vision, and dental insurance
- 401k
Requirements :
Benefits overview :
Interested and qualified candidates can contact Brennan Jones at (515) 225-7000 or email bjones@thepalmergroup.com.
