Series 9 10 Jobs (NOW HIRING)

Our client, a major bank, is looking to hire a Principle Review Desk Specialist in either Buffalo, NY OR Miami, FL

Pay Rate Range: 50-56.20/hr W2

Responsibilities:

WTF/in-office/Hybrid: Hybrid. 2 day per week in office

Contract Duration: 12 month

Role overview

Provide day-to-day principal review and administrative support to ensure capacity for the running of the team and department. This role coordinates operational activities, manages sensitive client information, and supports stakeholders while ensuring strict regulatory compliance.

Key Responsibilities

• Account Onboarding: Open basic retail brokerage accounts and ensure all required documentation is complete and compliant.
• Communication & Routing: Handle incoming email and telephone inquiries; route complex requests to the appropriate team members.
• Document Management: Maintain accurate digital records, files, and strict document control according to FINRA/SEC retention rules.
• Content Production: Produce and format professional documents, including client letters, management reports, presentations, and spreadsheets.
• Data & Reporting: Execute basic data entry tasks and generate routine operational or compliance reports.
• Risk & Compliance: Ensure absolute compliance with organizational policies, client confidentiality, and data security requirements.
• Process Optimization: Identify operational bottlenecks, suggest process improvements, and help standardize routine administrative workflows.

Skills and Competencies

• Time Management: Strong organization skills with the ability to prioritize competing tasks in a fast-paced trading environment.
• Communication: Clear written and verbal communication, combined with strong interpersonal skills for stakeholder management.
• Problem Solving: Sharp lateral thinking and a proactive approach to resolving administrative blocks.
• Quality Control: Exceptional attention to detail and high accuracy in data entry and regulatory record-keeping.

Requirements:

Looking for a Principle Review Desk Specialist with a minimum of 2 years of financial services experience. This role requires an active Series 24 or Series 9/10 license to support retail brokerage account openings, administrative workflows, and operational compliance.

Licensing Requirements

• Mandatory (Base): FINRA SIE, Series 7, and Series 63.
• Mandatory (Principal - Minimum of one required): Series 24 OR Series 9/10 (Both are highly acceptable).
• Preferred (Optional): Series 65 or Series 66 (Expands the scope of advisory responsibilities but not required for day-one tasks).

Russell Tobin offers eligible employee’s comprehensive healthcare coverage (medical, dental, and vision plans), supplemental coverage (accident insurance, critical illness insurance and hospital indemnity), 401(k)-retirement savings, life & disability insurance, an employee assistance program, legal support, auto, home insurance, pet insurance and employee discounts with preferred vendors.

Equal Employment Opportunity

Russell Tobin is an equal opportunity employer. We do not discriminate on the basis of the race, religious creed, color, national origin, ancestry, physical disability, mental disability, reproductive health decision making, medical condition, genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, veteran or military status, or any other characteristic protected by applicable federal, state, or local law.

Fair Chance Employment

Russell Tobin is a Fair Chance employer. We consider all qualified applicants, including those with criminal histories, in a manner consistent with applicable state and local Fair Chance laws and ordinances, including, the California Fair Chance Act and all applicable local Fair Chance ordinances.

Accommodations

We are committed to providing reasonable accommodations to applicants and employees with disabilities. If you require a reasonable accommodation to participate in the application or interview process, or to perform the essential functions of this role, please contact us.

Only applicable for San Francisco Candidates: Under the San Francisco Lactation in the Workplace Ordinance, we will provide written notice of lactation accommodation rights, and this notice will automatically be given upon hiring, any inquiry of parental leave or lactation accommodation.