Supervisory Principal
Job Description
*Description*Our client is a wealth management solution holding company focused on delivering a clear path to the future of financial advice for financial professionals, financial institutions, and their clients. Headquartered in New York City, the broker-dealer and investment adviser subsidiaries empower financial institutions and independent financial professionals with a sophisticated set of tools, services, and capabilities that deepen client relationships and maximize efficiencies in their practices.
The Office of Supervisory Jurisdiction (OSJ) Branch Supervisor role will be responsible for assuring that all registered representatives and advisors under their supervision are in compliance with all federal, state, FINRA and SEC rules and regulations, as well as all internal policies and procedures.
What you will do:
*Perform periodic conference/WebEx calls with representatives, providing regulatory insight and training on documentation and sales best practices.
*Perform principal review of new account applications and compliance required forms.
*Perform principal review of all representative transactions (Trade Blotter).
*Perform principal review of all correspondence to and from representatives.
*Provide guidance to representatives regarding compliance matters.
*Partner with Program Manager to oversee investment program to ensure satisfactory compliance with CFS and regulatory policies.
*Train representatives, assistants, and program managers in procedures as well as (Internal Platform/System) capabilities.
*Maintains in depth working knowledge of the reporting capabilities of internal system and Surveillance and ability to be utilized in the monitoring and detection of potential issues.
*Supervise activity of assigned representatives around the country that do not have an on-site OSJ.
*Travel to conduct onsite audit and/or training visits to representatives and branches. Maintain and build a working relationship with representatives to develop their skills in promoting increased business opportunities.
*Skills*
series 7, Series 24, series 63, OSJ, prosurv, series 66
*Top Skills Details*
series 7,Series 24,series 63
*Additional Skills & Qualifications*
Must haves:
*Bachelor's degree (B. A.) from four-year college or university; 2-3 years' experience supervising the production of Series 7 representatives, or equivalent combination of education and experience.
**Series 7, 63 and 24 (or 9 & 10) licenses are required for this position.*
*Prior experience as registered principals overseeing the sales activities of retail Series 7 and 65 Representatives (ideally in a bank or credit union environment).
*Strong sales supervision background, with strong suitability analysis required.
*Product and market experience, posses' excellent communication skills.
*Strong team player, detail oriented with excellent verbal and written communication skills.
*Proficient in Excel, Word, Power Point and Outlook
*Strong oral and written communication skills
*Strong attention to detail, including the ability to identify risk and when existing controls are not sufficient.
*Ability to adapt and work well within a fast-paced environment.
*Self-motivated, with the ability to multi-task on a variety of projects
Preferred:
*Series 4, 53, or 51 preferred but not required.
*Experience Level*
Expert Level
*Pay and Benefits*
The pay range for this position is $40.00 - $50.00
Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following:
* Medical, dental & vision
* Critical Illness, Accident, and Hospital
* 401(k) Retirement Plan * Pre-tax and Roth post-tax contributions available
* Life Insurance (Voluntary Life & AD&D for the employee and dependents)
* Short and long-term disability
* Health Spending Account (HSA)
* Transportation benefits
* Employee Assistance Program
* Time Off/Leave (PTO, Vacation or Sick Leave)
*Workplace Type*
This is a fully remote position.
*Application Deadline*
This position will be accepting applications until Dec 13, 2024.
About TEKsystems:
We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.
The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
*Please mention you saw this ad on NativeAmericansInCareers.*
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