Be an early applicantLess than 25 applicants

Company

Wealthfront · 3 hours ago

Brokerage Operations Specialist

Palo Alto, CA (Open to US-based Remote)

Full-time

Remote

Entry, Mid Level

$75K/yr - $90K/yr

2+ years exp

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FinanceFinancial Services

Comp. & Benefits

H1B Sponsor Likely

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Responsibilities

Own the client communication experience from beginning to end when clients reach out about life events

Complete daily brokerage operations exception reports including unreconciled activity, margin, corporate actions, etc.

Conduct quality control reviews and regulatory document delivery reconciliation

Perform cashiering duties including verification of incoming wires, checks, ACHs and process withdrawal requests

Provide ongoing account maintenance and review of new and existing account activity for risk mitigation related to AML

Collaborate cross-functionally with other teams at the company, specifically creating strong relationships with engineers

Certain in office tasks as the business requires

Qualification

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Brokerage industry experienceSecurities regulatory knowledgeAMLFINRA Series 7Account transfers knowledgeCorporate actions knowledgeDividends knowledgeRisk mitigation knowledgeDegree in financeCustomer-centric philosophyTechnology applicationProcess improvementWeb-based applications learningCompliance appreciationCollaborative mindset

Required

Minimum of 2 years brokerage industry experience preferably in a back office role

Securities regulatory knowledge and strong understanding of account transfers, corporate actions/dividends, and trading

Understanding of AML and risk mitigation rules

Strong organizational skills

Customer-centric business philosophy and collaborative mindset

Ability to communicate cross-functionally

Appreciation and understanding of applying technology and software to business processes

Desire to improve processes to increase team efficiency and productivity

Strong work ethic and hands-on approach

Ability to quickly learn proprietary web-based account services applications

Appreciation for compliance and adherence to government regulations

Bachelor’s degree in finance, economics, or related field or requisite related work experience

FINRA Series 7 required (or ability to obtain in 90 days)

Benefits

Medical

Vision

Dental

401K plan

Generous time off

Parental leave

Wellness reimbursements

Professional development

Employee investing discount

And more!

Company

Wealthfront

Glassdoor

4.1

Wealthfront integrates investing and saving products to help young professionals build long-term wealth in any market condition.

Founded in 2008

Palo Alto, California, USA

201-500 employees

https://www.wealthfront.com

H1B Sponsorship

Wealthfront has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2023 (7)

2022 (6)

2021 (19)

2020 (23)