Operations Liaison - International Private Client Services-Series 7, 63 or 66

Location: Miami, FL
Date Posted: 10-23-2016
The Operations Liaison is responsible for operational transaction processing and approvals such as Service Requests, Additional Transactions and other operational functions for the Market/Complex as delegated by the Qualified Supervisor. Works closely with the Market/Complex Operations Manager to ensure that all operational functions within the Market/Complex are being properly executed. Acts as a point of contact for operational inquiries and escalations from associates in the Market/Complex and assists in resolving client inquiries. Support other members of the Operations team as needed to ensure consistent and efficient execution of the Firm s operational policies and procedures. Responsible for physical security deposits, entering handwritten ticket orders into the system, preparing client receipts, security re-registration and forwarding securities, if applicable, with any supporting documentation, to the Home Office. Processes and approves disbursements of client funds. Ensures that financial transactions are completed in a timely manner to reduce financial exposure to both the client and to the firm. Responsible for identifying and preventing potential risk-related transactions. Frequently interacts on routine/sensitive matters opening and distributing branch mail and morning reports. Responsible for maintaining accurate records according to Corporate policy and Securities regulations. Assists Operations Manager in firm remediation projects and firm initiatives. A senior operations position in a market or complex reporting to a Market/Complex Operations Manager.

Required Qualifications

•3+ years of financial services operations experience
•Successfully completed FINRA Series 7 and 63 or 7 and 66 exams to qualify for immediate registration (or FINRA recognized equivalents)
•Bilingual speaking, reading, and writing proficiency in Spanish/English

Desired Qualifications

•Strong client service skills
•Strong attention to detail and accuracy skills
•Effective organizational, multi tasking, and prioritizing skills
•Good verbal, written, and interpersonal communication skills
•Knowledge and understanding of international brokerage operations
•Ability to navigate multiple computer systems, applications, and utilize search tools to find information
•Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
•FINRA registration including Series 65 (or FINRA recognized equivalents)
•FINRA registration including Series 66 (or FINRA recognized equivalents)
•FINRA registration including Series 9/10 (or FINRA recognized equivalents)
•Bilingual speaking proficiency in Portuguese/English
Very competitive salary and benefits!
Great company to work for!
Full relocation package is available!
Don't miss out! Apply now and we'll be in touch immediately with more specific details, salary information and to answer any questions!!

This position does NOT provide sponsorship so please do NOT apply if you require sponsorship.  Thank You

KP Recruiting Group 
"Bringing Talent to the Marketplace"

KP Recruiting Group is a well established and very respected recruiting firm.  We have built a strong reputation as a premier resource for providing highly qualified candidates for our clients.  We are very experienced in many industries and have a wide range of clients.  We will serve as your advocate during your career search!  Let us do the work for you!  There is never a fee for our services!

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