Analyst, Brokerage Operations – Series 9/10 job vacancy in Fidelity Investments – Jobs in Rhode Island

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Job Details
Company Name : Fidelity Investments
Company Location : Smithfield, RI 02917
Job Position : Analyst, Brokerage Operations – Series 9/10
Job Category : Jobs in Rhode Island

Job Description :

Job Description:

As a Central Control Team (CCT) Series 9/10 Delegate, you will be responsible for reviewing and providing Series 9/10 approval on complex New Account applications including Options and Margin. This includes reviewing client documentation to ensure that is it is good order and proactively communicating with Family Office Client Service and Implementation Project Managers to resolve client issues.

The Expertise We’re Looking For

  • 5+ years’ experience in brokerage processing highly preferred

  • Series 7, 9/10 required, or series 7, 24 required and obtain series 9/10 within 3 months.

  • New Account and Maintenance experience preferred

The Purpose of Your Role

In this role, your responsibilities will review and provide Series 9/10 New Account paperwork including Margin, Options and Customized Beneficiary requests. You will serve as a point of contact for the CCT 9/10 Team regarding questions of account set up and provide research as needed. This role also includes ensuring policies and procedures are updated when applicable and partnering with Legal/Risk/Compliance as needed.

The Skills You Bring

  • You have proven ability to handle complex work items. Exceptional problem resolution skills, including experience working with Risk and/or Legal business partners to resolve customer issues

  • You have strong written and verbal communications skills allow you clearly explain ideas, questions and resolutions to your team, as well other internal/external business partners

  • You have strong interpersonal skills and proven ability to build and maintain business partner relationships

  • You have the ability to take initiative and can identify process improvement opportunities to create efficiencies within the department

  • You have the ability to contribute to and thrive in a fast paced, highly engaged team oriented environment and have a positive attitude and be open minded

  • You have exceptional problem resolution skills while being able to assess risk and interpret business requirements to provide possible solutions

The Value You Deliver

  • Meeting and maintaining minimum productivity level requirements

  • Performing analysis on transactions to ensure all business requirements have been met

  • Delivering quality work in every interaction through timely and accurate processing

  • Handling inquiries from internal business partners

  • Prioritizing work effectively in a fast paced environment to ensure multiple deadlines are met

How Your Work Impacts the Organization

Regulatory requirements dictate that all new account applications have a supervisory (9/10) sign-off to ensure that the paperwork is in good order. Through our diligent review and approval of this paperwork, we ensure that our firm, and our clients are protected from issues that can arise from incomplete and/or inadequate information.


NOTE: This opening is for upcoming , future hiring


Company Overview

Fidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients. We help people invest and plan for their future. We assist companies and non-profit organizations in delivering benefits to their employees. And we provide institutions and independent advisors with investment and technology solutions to help invest their own clients’ money.

Join Us

At Fidelity, you’ll find endless opportunities to build a meaningful career that positively impacts peoples’ lives, including yours. You can take advantage of flexible benefits that support you through every stage of your career, empowering you to thrive at work and at home. Honored with a Glassdoor Employees’ Choice Award, we have been recognized by our employees as a Best Place to Work in 2022. And you don’t need a finance background to succeed at Fidelity—we offer a range of opportunities for learning so you can build the career you’ve always imagined.

Many of our associates are continuing to work remotely temporarily due to COVID-19. When Fidelity employees eventually return to the office, our goal is for most people to work flexibly in a way that balances both personal and business needs with time onsite and offsite through what we’re calling “Dynamic Working.”

We invite you to Find Your Fidelity at

Fidelity Investments is an equal opportunity employer. We believe that the most effective way to attract, develop and retain a diverse workforce is to build an enduring culture of inclusion and belonging.

Fidelity will reasonably accommodate applicants with disabilities who need adjustments to participate in the application or interview process. To initiate a request for an accommodation, contact the HR Accommodation Team by sending an email to accommodations, or by calling 800-835-5099, prompt 2, option 3.

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