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Under the direction of the Managing Partner, supervises activities of financial representatives and their employees with respect to laws and regulations of various agencies including FINRA, SEC, MSRB, and State Securities or Insurance Commissioners. Monitors activities with respect to Company policies and procedures pertaining to insurance and securities sales practices. Supervises individual financial representatives and their employees in the Network Office, Registered Branch Offices, and detached offices.
Relocation costs may be covered.
Ensures that the operational, sales and servicing activities of supervised persons complies with all applicable laws, regulations, and company policies. Detects instances of possible non-compliance and develops measures to advocate compliance. Areas of enforcement and influence include contracting, registration and employment, advertising, new account set-up, transaction processing, communications with customers, customer complaint handling, and others as needed. Also signs off as a registered principal on securities transactions
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