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Financial Services Associate

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Financial Services Associate

USI Securities, Inc., a broker dealer in Glastonbury, CT is seeking an entry level Associate.


The ideal candidate would have some experience working for a financial institution. This is a critical position within the organization as the incumbent will be acting on behalf of the firm in their dealings with peers, sales and service personnel, company management, affiliated organizations, and vendor partners.

Primary responsibilities:

  • Review and process direct business accounts, including transfers of mutual funds and annuities
  • Assist in ensuring that accounts meet suitability standards and documentation requirements outlined in the firm's policies and procedures manual in accordance with FINRA guidelines
  • Process and balance commission statements received from product sponsors (e.g. mutual funds, insurance companies, etc.)
  • Conduct various quality control reviews
  • Conduct registered representative e-mail surveillance
  • Assist in the preparation of branch office files for cycle exams, consistent with the firm's review program module, and perform on-site inspections as needed (some travel may be required)
  • Assist with CRD/IARD registration requests
  • Obtain and organize records related to cash and non-cash compensation made available to Registered Representatives by product sponsors
  • Provide excellent customer service to clients, internal customers and registered representatives in a timely and professional manner
  • Cross-train in other areas within the broker dealer in order to serve as backup when required
  • Assist with special projects as assigned


Experience, education and skills:

  • Bachelor's Degree, or a minimum of 2 years work related experience
  • Excellent communication, organizational and time management skills
  • Series 6 or 7 & 26 or 24 licenses, or willingness to study and obtain within preset deadlines
  • Proficiency with Microsoft applications (i.e., Word, Excel, and PowerPoint) and internet based media
  • Knowledge of broker dealer/investment advisor operations helpful
Job ID: 1625
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