Brokerage Operations Specialist - Remote

Overview

The Brokerage Operations Specialist at Wealthfront is responsible for managing daily brokerage operations functions and ensuring a seamless client experience through collaboration and process automation.

In Short

• Manage daily brokerage operations exception reports.
• Conduct quality control reviews and reconcile regulatory documents.
• Perform cashiering duties and process withdrawal requests.
• Review New Account applications and supporting documents.
• Maintain ongoing account activity reviews for risk mitigation.
• Collaborate with cross-functional teams, especially engineering.
• Engage in certain in-office tasks as required.

Requirements

• Minimum of 2 years brokerage industry experience in a back office role.
• Strong understanding of securities regulations and account transfers.
• Knowledge of AML and risk mitigation rules.
• Excellent organizational skills and a customer-centric approach.
• Ability to communicate effectively across functions.
• Desire to leverage technology for process improvement.
• Strong work ethic and hands-on attitude.
• Quick learner of proprietary web-based applications.
• Bachelor’s degree in finance, economics, or related field.
• FINRA Series 7 certification required.

Benefits

• Opportunity to work in a collaborative and innovative environment.
• Flexible learning across various areas of brokerage operations.
• Engagement in process improvement initiatives.
• Supportive team culture valuing input from all employees.