Operational roles are key to ensuring a smooth flow of information to and from the front and back office. The firm employs individuals with experience in both broker deal and RAA operations as well as various compliance and regulatory functions.
Required qualifications and skills are dependent upon the respective position held within the Operations Area. An advanced operations career requires a college degree in finance or a related field and Series 7, 63 or 66, 24 and other advanced industry licenses. Mid-level operations positions require a college degree, Series 7, 63 and/or 66 licenses. Entry-level operations positions, a college degree is highly desired, but not required.