Surveillance Principal
Job Description
We are searching for a Surveillance Principal for a broker dealer client. This is fully remote role. Surveillance Principals conduct Protegent/ProSurv enhanced trade supervision of assigned registered representatives' activities including but not limited to red, yellow and green flags. Resolve flagged trades in a compliant and efficient manner.*Job responsibilities:*
*Monitor assigned representative trade activities and provide appropriate guidance; this may include, but is not limited to Pershing buy/sell securities transactions.
*Review trade suitability and approval of transactions such as mutual funds, stocks, bonds, alternative investments, and other products.
*Periodic contact with assigned representatives to reinforce compliance with industry and firm rules and regulations regarding trade transactions.
*Assist with investigations of questionable trade and business transactions.
*Qualifications:*
*Extensive knowledge of the securities industry and the legal and regulatory requirements of broker dealers/investment advisors as it pertains to ProSurv trade reviews.
*Ability to make regulatory and supervisory decisions.
*Strong understanding of industry products.
*Strong understanding of brokerage trades and trading operations
*Strong interpersonal, presentation and organizational skills.
*Ability to multi-task with strong attention to detail.
*Excellent writing and oral communication skills.
*Proficient in Microsoft Word, Excel and other reporting tools.
EDUCATION AND/OR EXPERIENCE:
*Previous supervisory experience in the financial services field.
*Undergraduate degree or related experience.
REQUIRED CERTIFICATIONS, LICENSES, REGISTRATIONS
*Series 7, 24, 66, 53, and series 4.
*Pay and Benefits*
The pay range for this position is $40.00 - $60.00
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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