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Fort Lauderdale

    Supervisory Principal - Fort Lauderdale, United States - Ascendo Resources

    Ascendo Resources
    Ascendo Resources Fort Lauderdale, United States

    Found in: Appcast Linkedin GBL C2 - 12 hours ago

    Default job background
    Description

    Essential Duties and Responsibilities:

    • Primary officer for all supervisory, risk and compliance functions for one group of support personnel
    • Facilitate supervisory inquiry or processes
    • Provide mentorship and coaching on policies and procedures to initiate risk awareness and compliant environment
    • Supervise all money movement and trade activities
    • Review escalations from the branch in regards with cash breaks and NAV
    • Monitor and implement procedures within risk factors
    • Oversee responsibilities outlined in the Branch Supervisory manual
    • Act as primary source for intelligence on risk in regard to client and personnel's

    Education and Experience Requirements:

    • Active Series 7 and 24 REQUIRED
    • 3+ years of Sales Supervisory, Branch Compliance, or Supervision within a Broker Dealer/Wealth Management
    • Bachelor's degree in related field
    • Proficiency with SEC, FINRA, and Firm Compliance Policies & Procedures

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