Operations Liaison

An independent broker-dealer and RIA, managing over $2 billion in assets with 200+ registered representatives, seeks an Operations Liaison. The ideal candidate will have experience with a variety of financial products and knowledge of different clearing and custody platforms.The responsibilities of this position will be to provide support to advisors and branches as well as clearing firms and custodians. Will include all aspects of daily processing such as opening new accounts, check requests, fed wires, general inquiries, customer service, etc. Additionally, this role may support the branch advisors with respect to client inquiries, communications, and product support.Ideal candidates must have experience in the investment services industry, quick learning ability, strong initiative, exceptional customer service and critical thinking skills, and effective communication. The position requires multitasking effectively in a fast-paced environment.Requirements:2+ years of relevant securities experience, preferably in operations or being a Sales Assistant for a Registered RepFINRA Series 7/63Understanding of how an operations staff supports the sales staffExperience with RBC, Pershing, and/or Charles Schwab platforms a plusThe base salary for this role ranges from $55,000 to $70,000, with the potential for a discretionary bonus. The final compensation package will be determined by several factors, including experience and applicable licenses.

Created: 2026-04-13