Supervisory Principal (Complex Products)
Job Description
*Description*We are looking for a Supervisory Principal for the firms Complex Products Desk to join our organization. The Complex Products Supervisory Principal role is responsible *conducting pre-reviews of Alternative Investment, Fixed Indexed Annuity & Variable Annuity transactions *to determine if the product is suitable and, in the clients, Best Interest. This Complex Products Desk is a part of the firms centralized supervision department and works with the firms Registered Representative and OSJ mangers across the nation.
*Duties and Responsibilities:*
*Pre-transaction reviews for suitability & Best Interest in Alternative Investments, Fixed Indexed Annuities, Variable Annuities
*Provide complex product subject matter expertise to the firms Registered Representatives, OSJ Managers
*Assist with data requests from Compliance, Legal, Surveillance, Supervision, Compliance
*Research and resolve calls received from Field Representatives, internal departments, and clearing houses related to escalated complaints involving case suitability
*Implement specific measurements and monitor business activities as necessary.
*Create solid working relationships with other administrative staff.
*High capacity to develop and maintain relationships with existing and prospective advisors.
*Troubleshoot reports and other system applications as needed.
*Work alongside key personnel in driving results through administrative, marketing and financial processes.
*Develop a solid understanding of companywide operations, technology platforms, and product offering.
*Assist with back office operational and trading processes, new account review, block trading processing/allocations, data entry and analysis, house account service/maintenance, customer communication and other duties as assigned.
*Review, monitor and approve all processes for new account forms, new direct business applications, and exception reports.
**Required* Licensing*
FINRA Series 7, Series 24 (or 9/10), Series 66, (or Series 63/65)
*Skills & Qualifications*
*Bachelor's degree or equivalent education and experience.
*3+ years compliance or supervision experience, preferably in a supervisory/manager capacity
*Strong working knowledge of Alternative Investments, Fixed Indexed Annuities, Variable Annuities
*3+ years of experience with FINRA, the SEC regulations and practices. Extensive knowledge of broker dealer financial, compliance and supervisory operations.
*3+ years of customer service or relationship management experience in a fast-paced environment.
*Should be able to develop effectual relationships and operate with executives.
*Ability to learn complex financial information, the company's technology platforms & terminology at a fast pace; accurate with attention to details.
*Ability to synthesize large amounts of information and communicate conclusions effectively.
*Advanced computer skills; Salesforce, MS Office Suite proficiency (Strong skills in Microsoft Excel, Word & Adobe Acrobat).
*Ability to independently organize, prioritize, and manage time with minimal supervision and guidance from management.
*Pay and Benefits*
The pay range for this position is $40.00 - $50.00
Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following:
* Medical, dental & vision
* Critical Illness, Accident, and Hospital
* 401(k) Retirement Plan * Pre-tax and Roth post-tax contributions available
* Life Insurance (Voluntary Life & AD&D for the employee and dependents)
* Short and long-term disability
* Health Spending Account (HSA)
* Transportation benefits
* Employee Assistance Program
* Time Off/Leave (PTO, Vacation or Sick Leave)
*Workplace Type*
This is a fully remote position.
*Application Deadline*
This position will be accepting applications until Dec 27, 2024.
About TEKsystems:
We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.
The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
*Please mention you saw this ad on DiversityInAcademe.*
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