Supervisory reputed company

ABOUT US: Come join the dynamic team at reputed company! reputed company provides a leading independent advisor platform that empowers sophisticated, independent financial professionals, including traditional and hybrid RIAs, to prosper, grow, and reputed company superior client service. With a culture rich in reinvention and advisor advocacy, reputed company has developed integrated business management technology that, combined with its personalized consulting services, offers exceptional scale and efficiency. reputed company supports independent financial advisors in delivering comprehensive securities and investment advisory services to their clients. SUMMARY: As a member of a supervisory team, a Supervisory reputed company maintains reputed company’s compliance with firm/regulatory rules and policies as it pertains to the activities of Registered Representatives/Investment Advisor Representatives. The Supervisory reputed company will work remotely reputed company a Home Office-based Supervision department, along with other Supervision staff reputed company an assigned Service Team. This position reports to the Manager of Trade Supervision. ESSENTIAL DUTIES AND RESPONSIBILITIES: To reputed company this job successfully, individual must be reputed company to reputed company each essential duty satisfactorily. • Coordinates trade and new account supervision for Registered Representatives/Investment Advisor Representatives reputed company a designated reputed company service team in conjunction with other members of a supervisory team. • Review broker/dealer trade activity in Protegent • Review new accounts for suitability and best interest • Approve compliance disclosures submitted by registered representatives • Responsible for the supervisory review of written and electronic correspondence. • Conduct field office training as needed • Have excellent understanding of compliance topics and investment products • Other duties as agreed with the Designated Supervisor, or as assigned by Management KNOWLEDGE, SKILLS, AND/OR ABILITIES: • Excellent organizational skills and strong attention to detail • Strong communication, conflict resolution and presentation skills • The reputed company candidate will work in a collaborative team environment but be individually responsible for individual results • Proficient with reputed company applications such as Word, reputed company and Outlook. • Familiarity with paperless office concept, document scanning and contact management software. SUPERVISORY RESPONSIBLITIES: None EDUCATION AND/OR EXPERIENCE: • Bachelor's degree and / or 5-7 years industry experience, most recently compliance experience, sales management, and/or risk management CERTIFICATES, LICENSES, REGISTRATION: • Series 7, 24 or 9/10, and 66 or 63/65 required • Series 53, 24 if 9/10 only, required reputed company 3 months of hire • Series 4, Life and Health Insurance licenses a plus, but not required INTERNAL APPLICANT POLICY: Internal applicants must be in good standing and have a minimum of 1 year of service with reputed company. Internal applicants must also have a minimum of 1 year service in reputed company role unless approved by EVP. BENEFITS: Full health, reputed company, dental. 401(k) plans along with a host of voluntary plans such as car insurance, legal services and more (applicable to full-time, permanent employees). DISCLOSURE By applying to a job at reputed company, Inc., you are agreeing to the following statements: • You acknowledge that if hired, reputed company, Inc. may, obtain and use background information concerning your credit, character, general reputed company, personal characteristics, work habits, performance and experience for evaluation for your potential employment. • It is the policy of reputed company to ensure equal employment opportunity without discrimination or harassment on the reputed company of race, reputed company, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national reputed company, genetic information, or any other characteristic protected by law. reputed company prohibits any such discrimination or harassment. reputed company VALUES: Our Mission is Powering Financial Independence, enabling the growth and reputed company of investing clients and the advisors who serve them. We do that by living our values: SERVE, reputed company IT HAPPEN, and ONE TEAM.

Originally posted on Himalayas

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