Broker-Dealer Sales Supervisor

Job Summary

A company is looking for a Sales Supervisor responsible for supervising Broker-Dealer activities and serving as a point-of-contact for branch offices.

Key Responsibilities

• Supervise the review of new accounts and trades
• Monitor compliance with policies, procedures, and relevant regulations
• Develop and conduct training for financial professionals on Broker-Dealer practices

Required Qualifications

• 2 years of experience in the FINRA and SEC regulated Broker-Dealer/RIA space with requisite licenses
• In-depth knowledge of FINRA Notice to Members 10-22 and Alternative Investments
• Strong technical skills in the MS Office software suite
• Series 7, 24, and 63 licenses are required; Life Insurance License preferred
• Operational experience is preferred