Associate, Brokerage Operations

Associate, Brokerage Operations Boca Raton, FL Job Details Full-time $50,000 - $60,000 a year 1 day ago Benefits Health savings account Health insurance Dental insurance 401(k) Flexible spending account Paid time off Vision insurance 401(k) matching Opportunities for advancement Life insurance Qualifications Employee onboarding Teamwork Client onboarding Multitasking Financial transaction processing Phone communication Attention to detail Securities Industry Essentials Organizational skills ACH Financial services Escalation handling Cash handling Communication skills Corporate actions support Account opening Entry level Client interaction via phone calls Full Job Description Overview The Associate, Brokerage Operations is an entry-level role within the Brokerage Operations team, supporting the day-to-day processing and servicing needs of the firm's brokerage platform. This role is responsible for executing core operational functions including account setup, cashiering, and transfers, while delivering timely and accurate support to financial professionals and internal teams. The ideal candidate is detail-oriented, responsive, and motivated to build a career in brokerage operations. Location & Work Structure This position is based in Boca Raton, Florida. The role will begin remotely and transition to regular in-office collaboration once the office is operational. Candidates must be located in or willing to relocate to the Boca Raton area. This will not permanently be a remote or hybrid role. Key Responsibilities Account Setup & Maintenance Process new account setup across Pershing and RBC platforms Perform account maintenance and ensure completeness and accuracy of documentation Partner with financial professionals and internal teams to resolve incomplete or incorrect submissions Cashiering & Transfers Process check requests, ACH transactions, and Fed Fund wires Support incoming and outgoing account transfers (ACATS and non-ACATS) Ensure timely and accurate movement of client assets Operational Support Maintain system access for financial professionals and clients Update cost basis and account-level data as needed Monitor and process stock reorganizations and corporate actions Communication & Service Respond to brokerage operations phone and email inquiries Provide clear and timely communication to financial professionals and internal partners Assist with onboarding new financial professionals, including system setup and process guidance Risk & Controls Maintain accurate documentation for audit and regulatory purposes Assist with regulator requests and internal reviews Escalate issues appropriately to senior team members What You Bring 0-2 years of operations or financial services experience preferred Strong attention to detail and ability to manage multiple tasks Ability to work in a fast-paced environment with a high degree of accuracy Strong communication and organizational skills Willingness to learn and grow within brokerage operations Licensing & Requirements SIE or Series 99 preferred Series 7 required within 6 months of hire Growth & Development This role is designed as an entry point into Brokerage Operations, with a clear expectation of progression into more advanced roles as experience and licensing are obtained. Associates are expected to develop proficiency across core operational workflows and actively pursue additional licensing, including the Series 7 within the first six months. Strong performers will take on increased responsibility over time, with opportunities to advance into senior operations roles.

Pay:

$50,000.00 - $60,000.00 per year

Benefits:

401(k) 401(k) matching Dental insurance Flexible spending account Health insurance Health savings account Life insurance Paid time off Vision insurance

Work Location:

In person