Sales Supervisor

Integrity

Urbandale, Iowa, United States

Urbandale, Iowa, United States

Über

Broker-Dealer (BD) Sales Supervision We are seeking a Broker-Dealer (BD) Sales Supervision professional responsible for supervising all BD related activities and serve as a home office point-of-contact. This is a ground floor opportunity with a dynamic firm with experienced leadership. This role will be multi & cross functional to join a team building a differentiated model in the Financial Services industry. The following are the primary responsibilities for this role based in Urbandale, IA:
Responsible for the supervisory review of new accounts and trades
Responsible for the review of written and electronic correspondence
Monitor policies and procedures for compliance and relevant regulation and industry best practices
Assist with Investment Advisory Compliance in accordance with SEC Rule 206(4)-7 of the Investment Advisers Act of 1940 and related guidance by the SEC
Develop BD training and education materials for the financial professionals and conduct training for the same
Review home-office compliance with relevant BD regulations
Conduct marketing material reviews
Monitor and review trading activity representatives outside brokerage accounts
Assist the CCO with the resolution of disputes, regulatory audits, and customer complaints
Work with the COO in strategic planning
Keep abreast of regulatory changes and updates and assist with related manual and policy and procedure updates
Other duties and projects as assigned
Familiarity with Variable Annuity and Variable Life products
Desired Skills and Experience
Over 2 years' experience in the FINRA and SEC regulated Broker-Dealer/RIA space with the requisite licenses
Thorough knowledge of Alternative Investments
Committed to creating a professional environment that places a high value on accountability and teamwork
Excellent interpersonal communication skills, both written and verbal
Strong organizational skills with ability to prioritize activities
Maintain a strong client focus and the desire to build relationships during each interaction
Strong technical skills in the MS Office software suite (Word, Excel, PowerPoint, Outlook, etc.)
Capable of handling multiple tasks and responsibilities
Ability to work independently and take initiative while being part of a team
Proven work ethic with a high level of integrity to build trust with our clients and colleagues
Can get excited about joining an experienced team and contributing to the direction and growth of the company
Experience with Pershing, LLC preferred
Educational/Licensing Requirements
College degree preferred
Series 7, 24, 63 65 or 66
Life Insurance License preferred
Operational Experience preferred
Integrity, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.
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Urbandale, Iowa, United States

Sprachkenntnisse

English

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