Brokerage Communications Specialist

About This RoleAI processing…

Key Responsibilities

• 1
  Manage the full lifecycle of regulatory mass customer communication campaigns, including defining project scopes, timelines, and communications schedules, and drafting clear customer notices.
• 2
  Participate in the team's 24/7 on-call rotation, responding to operational incidents, drafting urgent customer-facing messaging, and coordinating key communications with leadership.
• 3
  Validate the successful delivery of required customer communications using data and reporting tools to ensure regulatory compliance for trade confirmations, statements, and disclosures.
• 4
  Maintain comprehensive and organized delivery evidence to support audits, exams, and regulatory reviews.
• 5
  Partner with Compliance, Legal, Senior Leadership, and other departments to manage competing priorities across daily operational communications and concurrent regulatory projects.

Requirements

• Hold Series 7 and Series 24 licenses, and bring 3+ years of experience in a financial services operations and regulatory compliance environment.
• Demonstrate exceptionally polished written and verbal communication skills, with the ability to draft clear regulatory notices and present updates to senior leadership.
• Show strong project coordination and self-starter skills, with the ability to manage multiple concurrent timelines and adapt to changing regulatory deadlines.
• Feel comfortable working with structured data and AI-powered tools to pull, analyze, and reconcile datasets across operational systems.
• Display high attention to detail, a proactive approach to identifying operational improvements, highly collaborative and strong relationship management skills
• Bachelor's degree or equivalent practical experience.

Perks & Benefits