IRA Account Specialist, Team Lead (FINRA Series 24 required)

Foris Capital US LLC, a company within the cryptocurrency industry, is in search of an experienced FINRA Series 7 Registered Representative with expertise in IRAs and retirement accounts to become part of the broker/dealer team in Chicago, Illinois. The principal responsibilities include managing all IRA-related inquiries and transactions, assisting clients comprehensively with their retirement accounts, and ensuring adherence to relevant regulations.

As a vital team member in client service, the role involves front-line engagement with customers to support tasks such as IRA rollovers, transfers, contributions, and complex matters such as beneficiary updates and complying with regulations like required minimum distributions (RMDs). Additionally, this position contributes to enhancing processes and delivering exceptional client experiences across various communication channels.

Key Responsibilities

• Supervisory Oversight: Act as the main supervisor for IRA-related communications and transactions, utilizing Series 24 for reviewing and endorsing departmental workflows to meet FINRA/SEC standards.
• Escalation Leadership: Serve as the final point of contact for intricate IRA issues, including complex Inherited IRA cases, IRS reporting adjustments, and high-value transfers.
• Team Mentorship: Lead, coach, and develop a team of specialists, conducting regular training on evolving retirement account rules, RMD requirements, and tax aspects.
• Operational Excellence: Identify IRA lifecycle bottlenecks and implement automated or streamlined processes for contributions, distributions, and recharacterizations.
• Quality Assurance: Monitor phone, email, and chat interactions to uphold standards and regulatory accuracy across the team.
• Strategic Collaboration: Partner with Legal, Compliance, and Product teams to introduce new retirement features and ensure impactful and compliant educational content.
• Regulatory Watchdog: Stay informed on IRS and FINRA changes, swiftly adapting team strategies to align with new regulations like SECURE Act updates.
• Content Strategy: Supervise the creation of client-facing tools and educational resources to equip clients in making informed financial decisions.

Requirements & Skills

• Licenses: Active FINRA Series 7, 63 (or 66), and 24 certification required.
• Experience: Minimum 4+ years in retirement or brokerage industry, with 1–2 years in a leadership or senior-level role.
• Subject Matter Expertise: Profound knowledge of Traditional, Roth, and Inherited IRAs, including complex rollover and distribution tactics.
• Leadership Presence: Proven ability to connect with high-net-worth clients and internal team, with the capability to coach peers and resolve client disputes.
• Operational Skills: Highly organized and detail-oriented, capable of managing team performance in a dynamic, high-volume environment.
• Interest in Cryptocurrency: Genuine enthusiasm for the digital asset space and its integration with long-term retirement planning processes.

The salary range for this position is $80,000 - $110,000 per year.

Benefits

• Competitive salary
• Generous annual leave entitlement
• 401(k) plan with employer match
• Comprehensive health, dental, vision, and life/disability insurance options
• Flexibility in work hours and hybrid or remote work arrangements
• Opportunity for career growth through internal mobility programs

About the Company

Founded in 2016, the company serves a large customer base and is recognized as one of the fastest growing cryptocurrency platforms globally. The company's mission is to promote widespread cryptocurrency adoption, underpinned by a commitment to security, privacy, and compliance standards. The company aims to accelerate cryptocurrency adoption through innovation, empowering the next generation of innovators to shape a more equitable digital ecosystem.

The company is an equal opportunities employer, committed to fostering a diverse and inclusive work environment that values individuals from various backgrounds, perspectives, and skills. Personal data submitted by applicants will be used solely for recruitment purposes. Only shortlisted candidates will be contacted.