Principle Review Desk Specialist#26-33873 Up to $57.25 per hour Miami, FL Hybrid Job Description Our Client, a Banking and Financial Services company, is looking for a Principle Review Desk Specialist for their Miami, FL/Hybrid location.

Responsibilities:

Account Onboarding:

Open basic retail brokerage accounts and ensure all required documentation is complete and compliant.

Communication & Routing:

Handle incoming email and telephone inquiries; route complex requests to the appropriate team members.

Document Management:

Maintain accurate digital records, files, and strict document control according to

FINRA/SEC

retention rules.

Content Production:

Produce and format professional documents, including client letters, management reports, presentations, and spreadsheets.

Data & Reporting:

Execute basic data entry tasks and generate routine operational or compliance reports.

Risk & Compliance:

Ensure absolute compliance with organizational policies, client confidentiality, and data security requirements.

Process Optimization:

Identify operational bottlenecks, suggest process improvements, and help standardize routine administrative workflows.

Requirements:

Mandatory (Base): FINRA SIE, Series 7, and Series 63. Mandatory (Principal - Minimum of one required): Series 24 OR Series 9/10 (Both are highly acceptable). Preferred (Optional): Series 65 or Series 66 (Expands the scope of advisory responsibilities but not required for day-one tasks).

Time Management:

Strong organization skills with the ability to prioritize competing tasks in a fast-paced trading environment.

Communication:

Clear written and verbal communication, combined with strong interpersonal skills for stakeholder management.

Problem Solving:

Sharp lateral thinking and a proactive approach to resolving administrative blocks.

Quality Control:

Exceptional attention to detail and high accuracy in data entry and regulatory record-keeping.