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About the role
Key responsibilities & impact- Manage day-to-day supervisory, compliance and operational aspects of the business
- Partner with Wealth Market Leader(s) to lead and develop supported Market(s)
- Ensure timely and effective response to Compliance and Audit Reviews
- Manage trade corrections with Operations, Compliance and WMLs
- Participate in New Hire interview process focusing on Compliance and Operational concerns
Requirements
What you’ll need- Bachelor's Degree preferred
- 5+ years of industry experience
- FINRA Series 7, 24 and 66 (or equivalent) required
- 3+ years of relevant supervisory experience in brokerage, annuity, advisory, banking and lending activity
- Broad knowledge base and experience in Financial Services
- Strong Control and Operational experience and knowledge
- Leadership, communication and influencing skills to drive change
- Ability to travel 50% of time
Benefits
Comp & perks- Health insurance
- 401(k) matching
- Paid time off
- Flexible working hours
- Professional development opportunities
- Career development
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
supervisory experiencecompliance managementoperational managementtrade correctionsaudit reviewsfinancial services knowledge
Soft Skills
leadershipcommunicationinfluencingchange management
Certifications
FINRA Series 7FINRA Series 24FINRA Series 66