Description

You will take ownership of critical daily margin processes, handling complex transactions and comprehensive reviews of customer accounts to ensure compliance with regulations. You will partner with customer-facing teams to address escalated inquiries and exception handling, and use AI and data-driven decision making to enhance operational efficiencies.

Requirements

• Deep knowledge of retail brokerage account operations and margin regulations
• Demonstrated history of operational excellence leveraging AI for automation
• Extreme attention to detail and accountability for driving results
• Ability to combine speed with thoughtfulness, learn quickly, and apply problem-solving skills
• FINRA Series 7 with desire to obtain Series 24

Responsibilities

• Take ownership of critical daily margin processes, handling complex transactions and customer account reviews
• Partner with customer facing teams to address escalated inquiries and exception handling of margin accounts
• Escalate and address high-risk or abnormal user activities with trend analysis and timely resolutions
• Seek opportunities to enhance operational efficiencies and deliver great customer experience
• Use AI and data driven decision making to collaborate on enhancements to policies and procedures