Manager overseeing inter - disciplinary teams providing patient care at Shared Health, ensuring delivery of effective services and quality improvement metrics.
About the role
- Regional Supervision Manager reviewing Brokerage and Advisory transactions ensuring they are client-focused. Collaborating with financial professionals on compliance and supervisory issues across multiple states in the US.
Responsibilities
- Review Brokerage, Advisory and Directly held transactions ensuring they are in the client’s best interest.
- Assist in the review of Financial Professionals requests.
- Monitor reports and enforce internal controls ensuring compliance.
Requirements
- Minimum three years related experience conducting suitability/best interest review of transactions or relevant industry experience understanding current products and procedures.
- FINRA Series 7, Series 24 and Series 63/65 or 66 required.
- Understanding of relevant FINRA and SEC.
- Excellent analytical and problem-solving skills.
Benefits
- health, vision, dental insurance
- 401k
- paid time away
- volunteer days
- annual bonus
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