Key skills
LeadershipCommunication
About this role
Role Overview
- 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
- 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
- Health insurance
- 401(k) matching
- Paid time off
- Flexible working hours
- Professional development opportunities
- Career development