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Remote Series 99 Jobs in Arizona (NOW HIRING)

Qleen

Customer Service Associate - Remote

Phoenix, AZ · On-site +1

$17.50 - $20.50/hr

Work as part of a fully remote team, utilizing technology that allows for team communication, training, and meetings Skills Needed * Able to analyze customer emails and provide a thoughtful response ...

Qleen

Customer Service Associate - Remote

Phoenix, AZ · Remote

$17.50 - $20.50/hr

Work as part of a fully remote team, utilizing technology that allows for team communication, training, and meetings Skills Needed * Able to analyze customer emails and provide a thoughtful response ...

Nexora Talent

Remote- Customer Experience Service

Mesa, AZ · Remote

$35K - $50K/yr

Customer Experience Service (Remote) We are seeking a detail-oriented Customer Experience Service to support clients throughout their journey. In this role, you will assist with coordinating client ...

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Remote Series 99 information

What is a remote Series 99 professional?

A Remote Series 99 professional is an individual who has passed the FINRA Series 99 exam and is qualified to perform the functions of an Operations Professional for a broker-dealer, but works remotely rather than in a traditional office setting. The Series 99 license allows professionals to handle a variety of back-office operations, such as trade settlement, asset transfers, and recordkeeping. Working remotely, these professionals use secure technology to manage tasks, communicate with team members, and ensure compliance with industry regulations. This role is essential for maintaining the smooth operation of financial firms, especially as remote work becomes more prevalent.

What are the key skills and qualifications needed to thrive as a remote Series 99 operations professional?

To excel as a Remote Series 99 Operations Professional, you need a solid understanding of broker-dealer operations, compliance principles, and must hold the FINRA Series 99 license. Familiarity with financial software systems, regulatory reporting tools, and secure communication platforms is typically required. Attention to detail, problem-solving ability, and strong organizational skills are crucial soft skills for managing complex processes remotely. These competencies ensure accurate, compliant operations and effective teamwork in a regulated financial environment.

What are some common challenges faced by remote Series 99 operations professionals, and how can they be addressed?

Remote Series 99 Operations Professionals often encounter challenges such as maintaining effective communication with on-site teams and ensuring compliance with complex financial regulations from a distance. Overcoming these obstacles typically involves leveraging secure digital platforms for collaboration, maintaining regular check-ins with colleagues, and staying up-to-date on regulatory changes through continuous education. Building strong organizational habits and proactively seeking clarification on ambiguous processes can also help remote professionals excel in this role.

What is the difference between Remote Series 99 vs Remote Data Analyst?

AspectRemote Series 99Remote Data Analyst
Required CredentialsBachelor's in IT, Computer Science, or related fieldBachelor's in Data Science, Statistics, or related field
Work EnvironmentRemote, often in tech or software companiesRemote, in finance, healthcare, or tech sectors
Employer & Industry UsageTech firms, software companies, startupsBusiness, finance, healthcare organizations
Common Search & ComparisonYesYes

Remote Series 99 and Remote Data Analyst roles share similarities in requiring analytical skills and remote work setups. However, Remote Series 99 typically focuses on IT or software development, while Remote Data Analysts concentrate on data interpretation and reporting. Both roles are prevalent in tech-driven industries and require relevant degrees, but their core responsibilities differ, making them distinct career paths within remote work opportunities.

What are the most commonly searched types of Series 99 jobs in Arizona?

The most popular types of Series 99 jobs in Arizona are:

What are popular job titles related to Remote Series 99 jobs in Arizona?

For Remote Series 99 jobs in Arizona, the most frequently searched job titles are:

What job categories do people searching Remote Series 99 jobs in Arizona look for?

The top searched job categories for Remote Series 99 jobs in Arizona are:

What cities in Arizona are hiring for Remote Series 99 jobs?

Cities in Arizona with the most Remote Series 99 job openings:

Remote Series 99 jobs near you

Centralized Financial Advisor

Phoenix, AZ • Remote

Desert Financial Credit Union
Finance and Insurance • 1 - 5K employees

7.5

Company rating: 7.5 out of 10

Based on 13 frontline employees who took The Breakroom Quiz

Good employer

Good training

Uninterrupted breaks

Learn more about Desert Financial Credit Unionexternal

Full-time

Re-posted 21 days ago

Job description

The Centralized Financial Advisor is responsible for driving new wealth management opportunities through proactive, planning-based client engagement in a remote, phone-based environment. Operating from a centralized office setting, this role serves as a key growth engine for the advisory platform, uncovering client needs, deepening relationships, and connecting clients to Financial Advisors when appropriate.

Through virtual, discovery-driven conversations, the Centralized Financial Advisor identifies opportunities across investment, retirement, and protection strategies, positioning holistic advice as the foundation for long-term relationships. In parallel, the role manages a targeted portfolio of clients below advisory minimums, nurturing relationships and expanding share of wallet over time.

What you will do here:

Engage clients and prospects through proactive, phone-first and digital interactions to deliver discovery-based, planning-led conversations. Identify financial goals, uncover unmet and potentially complex needs based on discovery outcomes, and position holistic advice across investment, retirement, and protection strategies. Leverage strong judgment to recognize when advanced or complex planning is required and partner with/ refer clients to a Branch Financial Advisor to ensure comprehensive solutions. Build trust through ongoing engagement while driving outcomes aligned to long-term client success.

Business Development: Generate new wealth management opportunities through consistent outbound outreach, referral follow-up, and campaign participation. Create and advance a robust pipeline of qualified advisory opportunities by translating client needs into actionable next steps and connecting clients to Financial Advisors when appropriate.

Client Relationship Management & Share of Wallet Growth: Maintain and develop a defined group of clients through regular check-ins, education, and financial guidance. Identify opportunities to consolidate assets, expand solutions, and deepen engagement, progressing clients along the advisory continuum toward full-service advisor relationships.

Operations and Compliance: Maintain accurate and timely documentation of client interactions, opportunity status, and pipeline activity within CRM systems. Ensure all client engagement and business practices align with regulatory standards, broker/dealer requirements, and organizational policies.

Perform other job-related duties as assigned.

What you will need:

High School Diploma or GED required.

BA in Business, Finance or equivalent combination or education and experience preferred.

2+ years of Financial industry experience required.

2+ years of Client Service/Support experience required.

1+ years of limited sales, phone sales and service experience required.

Strong written and verbal communication skills, presentation skills, planning skills, analytical skills, and problem solving skills required.

Effectively handle multiple task assignments simultaneously with above average problem solving skills with excellent organization skills and process with accuracy required.

Proven sales skills in insurance or related field exceeding sales quotas/goals required.

Ability to develop and maintain relationships via phone with clients, internal and external members required.

Ability to work effectively, both independently and in a team environment, in an atmosphere of multiple projects, shifting priorities, & deadline pressures required.

Microsoft Access, Microsoft Excel and Microsoft Word required.

Series 7 – General Securities Representative Qualification required.

Series 66 or both Series 63 & Series 65 required.

AZ Life/Health Insurance required.

We are proud to be an EEO/AA employer M/F/D/V. We maintain a drug-free workplace and perform pre-employment substance abuse testing.

For additional information about our organization, careers, and benefits visit: http://www.desertfinancial.com/careers.

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