Investment Researcher - Series 7

  • location: Charlotte, NC (remote)
  • type: Temp to Perm
  • salary: $32 - $34 per hour

job description

Investment Researcher - Series 7

Do you have brokerage experience? Our client, a multinational financial services company, is seeking a Quality Brokerage Consultant to assist with the quality review of peer groups to ensure accuracy.

As a Quality Brokerage Consultant, you will be responsible for supporting internal team members by providing a more complex variety of support services in account management, operations, documentation, customer service, and technical support.  

Required Qualifications

  • Series 7 Finra License 
Desired Qualifications

  • 1+ years' brokerage experience 
  • Quality Assurance or Audit experience
  • Risk Mitigation
  • Brokerage


Responsibilities

Duties include:

  • Reviewing customer complaint files to ensure accuracy from start to finish
  • Assessing and analyzing account activity, reports, cash flow projections, and financial statements for customers to identify irregularities and determine retention resolution
  • Complete audit review  on high-risk cases and provide feed back to peer team on items missed or needing further research.


Skills
  • Series 7
  • Trade
  • Complaints
  • brokerage (3 years of experience is required)
  • 401K
  • FINRA
  • quality
  • Audit
  • Risk Mitigation
  • Financial
Education
  • High School
Qualifications
  • Years of experience: 0 years
  • Experience level:Experienced
Shift: First

Working hours: 7:30 AM - 4 PM

Randstad is a world leader in matching great people with great companies. Our experienced agents will listen carefully to your employment needs and then work diligently to match your skills and qualifications to the right job and company. Whether you're looking for temporary, temporary-to-permanent or permanent opportunities, no one works harder for you than Randstad.

EEO Employer: Race, Religion, Color, National Origin, Citizenship, Sex, Sexual Orientation, Gender Identity, Age, Disability, Ancestry, Veteran Status, Genetic Information, Service in the Uniformed Services or any other classification protected by law.

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