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The role supports the President of their Broker Dealer and will work across various teams supervising the day-to-day activities of the broker dealer and its personnel.
Duties will include review of communications, approval of investor transactions, and other reportable activities, working closely with other members of management. The role will report to the Managing Director and Global Head of Relationship Management and will work closely with team members in four major cities.
The ideal candidate will have:
Bachelor's degree in a related field
Series 4, 7, 24, 53 and 63 (or 65 or 66) licenses required
Minimum 5 years acting as a broker dealer supervisor
Strong knowledge of FINRA Rules
Ability to recognize red flags, and to identify trends and patterns that require further investigation
Problem solver with ability to research solutions
Resourceful with ability to mitigate issues and identify alternatives
Strong written and verbal communication skills; ability to communicate effectively with all levels of the organization and represent the Firm in a professional manner
Exceptional attention to detail, placing a high priority on accuracy and organization