MarTech Manager driving digital transformation at Mortenson, focusing on analytics, site optimization, and digital performance insights
About the role
- Regional Supervision Manager overseeing compliance for financial transactions across multiple regions. Responsible for ensuring alignment with firm policies and supervising Financial Professionals' activities.
Responsibilities
- responsible for the review of Brokerage, Advisory and Directly held transactions
- ensuring those transactions are in the client’s best interest
- assist in the review of Financial Professionals requests for approval of Outside Business Activities
- conduct transaction and account review for all transactions for direct reports
- monitor reports and enforce internal controls to ensure compliance with industry standards and the firm’s policies and procedures
Requirements
- Minimum three years related experience conducting suitability/best interest review of transactions
- FINRA Series 7, Series 24 and Series 63/65 or 66 required
- Understanding of relevant FINRA and SEC
- Ability to effectively handle and prioritize multiple tasks in a fast-paced team environment to meet defined deadlines
- Excellent analytical and problem-solving skills
Benefits
- health, vision, dental insurance
- 401k
- paid time away
- volunteer days
- annual bonus
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