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ai finra series 7 series 63 brokerage operations📋 Description
- Lead a team across quality, regulatory complaints, service, and process engineering.
- Serve as FINRA Series 24 supervisory principal for Front Office personnel.
- Scale a high-performing broker-dealer ops team with AI-driven automation.
- Own FINRA complaints governance and monthly regulatory reporting.
- Oversee AI-generated brokerage communications and approvals.
- Drive operational excellence across queues, SLAs, and partner performance.
🎯 Requirements
- FINRA licenses: Series 7, 63, and Series 24 (active).
- 5+ years in brokerage operations or financial services with regulatory knowledge.
- 3+ years direct people leadership in regulated financial environment.
- Strong FINRA supervisory knowledge: Rule 3110, 4513/4530, 4511; SEC frameworks.
- Experience managing regulatory complaint programs and FINRA reporting.
- Analytical, data-driven decision making to diagnose issues and improve workflows.
🎁 Benefits
- Remote work options.
- Medical insurance.
- Flexible time off.
- Retirement plans.
- Modern family planning.
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