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Service Associate
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- The role is responsible for daily functions such as document maintenance, money movement, trade support and various approvals.
- Oversee and distribute incoming and outgoing mail, including opening, sorting, time stamping and distributing regular and/or overnight mail at multiple points throughout the day
- Support the Service and Risk Management team in audit preparedness through ongoing monitoring of accounts and processes, ensuring compliance with firm policies and regulatory requirements
- Organize and track progress against operational remediation projects
- Active Series 7 (GS) and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)
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