Junior Marketing and Sales Back - Office Intern supporting marketing execution and sales operations in AI - driven innovation lab. Engaging in hands - on learning through real projects and responsibilities.
About the role
- Sales Supervision Manager overseeing risk-based supervision of financial products and investment strategies. Involves training advisors and handling supervisory alerts across various accounts.
Responsibilities
- Review of supervisory alerts for transactions in equities, exchange traded products, fixed income, mutual funds, unit investment trusts, 529s, and options at both the trade and account level.
- Supervision of new accounts and strategy changes in Brokerage and non-discretionary Managed Accounts.
- Complete supervisory analysis using risk-based judgement, procedures, and job aids. This usually results in approval or rejection of new applications or determination of appropriateness of transactions or other business including communications with the public.
- Communicate with advisors, field registered principals and field leaders regarding results of supervisory activity.
- Involves working closely with advisors to develop an understanding of recommendations made to clients and to reasonably validate fiduciary and best interest standards are met.
- Support the team’s efforts to innovate and improve the effectiveness and efficiency of processes.
- Evolve day-to-day processes to streamline work and focus on issues that matter most.
- Keep updated on changes in the regulatory environment and competitive landscape including new regulations and product offerings.
- Represent the firm and functional processes in response to examinations, investigations, and other regulatory matters, which may include on-the-record engagements with regulators or providing testimony in arbitration matters.
- Participate in maintaining the overall health of the team including establishing individual development goals and engagement in team activities.
Requirements
- A Bachelor’s degree (in any field) and 2 years relevant work experience, or no degree with 3 years relevant work experience.
- Relevant experience includes financial services, customer service, communications, education or other where you have built the skills needed to be successful in this role.
- Active SIE (Securities Industry Essentials) and ability to obtain Series 7 within 120 days, Series 24 within 90 additional days, and Series 9/10 or a combination of both Series 4 and 52/53 within 90 additional days, each.
- Problem solving and analytical skills; ability to effectively analyze complex issues.
- Ability to consistently exercise good judgment when making decisions on complex matters that don't have clear answers.
- Strong written and verbal communication skills including ability to deliver unfavorable messages.
- Ability to consistently influence positive behavior through coaching and education.
- Ability to document activity in a fact-based and comprehensive manner.
- Ability to work effectively and efficiently both individually and in a team environment.
- Ability to manage workload, across multiple tools and processes, including prioritization and monitoring of pending cases.
Benefits
- vacation time
- sick time
- 401(k)
- health insurance
- dental insurance
- life insurance
- pay-for-performance compensation philosophy
- variable pay in the form of bonus, commissions, and/or long-term incentives
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