- Reviews and approves new account applications
- Reviews transactions on a trade blotter
- Reviews and approves variable annuities, mutual funds, securities transactions for suitability and documentation
- Reviews advisor email and client correspondence.
- Serves as a point of contact for compliance related matters on assigned advisors
- Educates advisors concerning firm policies and procedures
- Conducts business practice reviews as needed and investigates sales practice concerns as they arise.
- Serves as point person for investigations and recommends disciplinary action as needed.
- Maintains prompt and regular attendance
- This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.
- Previous experience in a broker-dealer business, investment advisory or related field
- Previous experience in supervision is preferred
- Thorough knowledge of mutual funds, variable annuities, general securities and other financial products
- Excellent organizational skills
- Detail oriented
- Speed & accuracy in typing
- Excellent written and verbal communication skills
- Proficient in Microsoft Office Suite
- Ability to adhere to strict timelines
- Must be able to work in the US for any employer
- Series 7, 24 and 66 (or 63 and 65) or ability to obtain within 6 months of hire
- Bachelors Degree in Finance, Investments, Economics or related discipline
- Hybrid In-Office 3 Days
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Guidehouse Birmingham, United StatesJob Family: · General Coding Travel Required: · None Clearance Required: · None What You Will Do: · Responsible for the management of health information systems consistent with the medical, administrative, ethical and legal requirements of the health care delivery system. Wh ...
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Designated Principal Email Review - Birmingham, United States - StoneX Group
Description
Overview:
Connecting clients to markets and talent to opportunity
With 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices spread across five continents, were a Fortune-100, Nasdaq-listed provider, connecting clients to the global markets focusing on innovation, human connection, and providing world-class products and services to all types of investors.
Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, The StoneX Group is made up of four segments that offer endless potential for progression and growth.
Business Segment Overview:
Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology.
Position Purpose:
Position is responsible for serving as the OSJ principal for Independent Financial Advisors located within an assigned region. This position will be responsible for ensuring that the assigned financial advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm.
Responsibilities:Primary duties will include:
To land this role you will need:
Education / Certification Requirements:
Working environment:
#LI-Onsite #LI-GM1
