Job Details

Interested? Email Us Never Applied? Apply
Sales Supervision Principal - Remote
Job ID:00004H31
Location:CA Carpinteria
Hours:40 Monday to Friday 8am to 5pm
Pay:$65,000.00 $70,000.00
Remote Opportunity Available
Job Description
You would be responsible for daily review for all BrokerDealer business. In addition, you would keep current and up-to-date on carious internal and external products, industry changes and apply new SEC and FINRA rules and regulations to suitability review process. You would be required to complete Periodic and Ad-Hoc projects as needed. Conduct Daily Review of new and existing business through our Order Entry System. Keep abreast of regulatory changes as it pertains to productpaperwork review know your client, anti-money laundering and all applicable FINRA guidelines. Update Standard Operating Procedures as needed. Assist with our Pershing relationship, including signing off on new account applications and trade blotter review Corporate Account reconciliation and sweeps and all other Pershing projects. Assist and complete multi-tiered ad-hoc and periodic projects. May assist in yearly IRS Tax Reporting Project. Call out to appropriate parties regarding escalated review deficiencies. Assist with training new representatives.
Skills Required
3+ yrs industry exp with a BrokerDealer or other financial institution. FINRA License 7, 63, 24. Knowledge of FINRA SEC regulations. Excellent verbal and written communication skills.
Skills Preferred
Bachelors degree preferred but not required. Series 53 and Series 4 must be obtained within your first year of employment.