Operations Specialist

$52,000 - $57,000/Yr

Packerland Brokerage Services - Green Bay, WI

Full-time - Mid Level

Remote - Green Bay, WI

11-50 employees

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

Packerland Brokerage Services is seeking a Securities Principal to join their team in Green Bay, WI. This full-time position involves overseeing the daily processing and suitability review of representative business in compliance with FINRA regulations. The role emphasizes personal growth, education, and collaboration within a diverse and inclusive work environment, supporting independent financial advisers nationwide.

Responsibilities

• Daily processing and suitability review of representative business per FINRA regulations
• Create and maintain Direct Business policy
• Training representatives, staff, and OSJs on Direct Business policy, procedures, and systems
• Act as a resource to OSJs and new representatives onboarding to Packerland
• Identify NIGO trends to improve efficiency in suitability review

Requirements

• Minimum of three years in the securities industry
• Experience in a principal capacity preferred
• Required licenses: Series 7, Series 24 or Series 26
• Strong customer service skills
• Ability to work collaboratively with clients and representatives
• Strong relationship building skills
• Ability to make quick decisions in a time-sensitive environment
• Direct business experience and/or call center financial services experience
• Excellent oral and written communication skills
• Strong knowledge of regulatory (SEC, FINRA) requirements
• Proficient in MS Office, DocuSign, Laser App, and relational databases

Nice-to-haves

• College degree preferred but not required in lieu of experience
• Preferred licenses: Series 53, 66, 4

Benefits

• Paid parental leave
• Health savings account
• Health insurance
• 401(k)
• Flexible spending account
• Tuition reimbursement
• Paid time off
• Employee assistance program
• 401(k) matching
• Professional development assistance
• Flexible schedule
• Life insurance
• Referral program