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Our client, a thriving firm in Des Moines, is seeking a FINRA Operations Specialist to join their team. Ideal candidates must be highly adept at learning and growth opportunities in the investment industry and currently hold FINRA Series licenses. Those with industry experience, strong communication skills, a talent for developing relationships, and strong computer skills will be apt to succeed in this role. Keep reading!


  • Direct phone calls and act as the main point of contact for clientele 
  • Respond to client needs by opening accounts, preparing and processing forms and transactions as needed
  • Open and process mail
  • Run and email daily reports
  • Prepare expense reimbursements
  • Maintain supplies for the entire office
  • Prepare client information, including portfolio reports
  • Perform research as requested
  • Handle money transfer requests, open new accounts, and perform additional operational support


  • 7+ years of investment industry experience
  • Series 7 and 65/66 FINRA licenses required
  • Candidates with additional FINRA licenses: 9, 10, 24, 53, 55 preferred
  • Strong MS Office and computer skills working with multiple systems
  • Excellent communication skills coupled with the ability to collaborate and build rapport with clients
  • Provide high-caliber customer service internally and externally
  • Strong MS Office and computer skills working with multiple systems
  • Ability to handle competing objectives and prioritize workflow
  • High desire to learn and grow professionally

Work Model:

  • On-Site
  • Monday – Friday
  • 8:00 AM – 5:00 PM

Interested and qualified candidates can contact Shelby Mensen at (515) 225-7000 or

Ref: JOB-45303

Shelby Mensen

Senior Recruiter

(515) 225-7000

3737 Woodland Ave, Suite 200, West Des Moines, IA 50266

    • Job type: Direct Hire
    • Location: Des Moines
    • Date posted:
    • Salary:
      $65,000 - $80,000 per Year