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Regional Operations Leader — FINRA/10 & Team
Job in
Seattle, King County, Washington, 98127, USA
Listed on 2026-05-19
Listing for:
Ascendo Resources
Full Time
position Listed on 2026-05-19
Job specializations:
-
Management
Risk Manager/Analyst -
Finance & Banking
Risk Manager/Analyst
Job Description & How to Apply Below
Ascendo Resources is seeking an experienced individual to oversee branch operations in Seattle, United States. The role demands 5+ years of management experience in a broker dealer or wealth management context.
Key responsibilities include leading the Client Service Associate team and ensuring compliance with FINRA regulations. An active FINRA Series 9/10 license and a bachelor's degree in a related field are required.
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