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customer support finra series 7 finra series 63 series 66 regulatory inquiries📋 Description
- Resolve high-priority customer issues across phone, chat, email, and messaging.
- Manage executive escalations with senior stakeholders, including board members.
- Investigate regulator-referred complaints and third-party issues (SEC, FINRA, CFPB).
- Analyze trends to identify root causes and reduce future escalations.
- Communicate findings and resolutions to Legal, Compliance, and leadership.
🎯 Requirements
- FINRA Series 7 and 63; obtain Series 66 and 24 (or 9/10) within 120 days.
- 3+ years in customer support or service in financial services.
- Ability to assess complex cases with structured problem-solving.
- Independent work with on-call support as needed.
- Strong communication across channels for sensitive interactions.
🎁 Benefits
- Challenging, high-impact work to grow your career.
- Pay with bonuses, equity, and 401(k).
- 100% paid health insurance for employees; 90% for dependents.
- Lifestyle wallet for wellness and learning.
- Life & disability insurance, fertility, and mental health benefits.
- Paid time off, holidays, sick time, and parental leave.
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