General Securities Principal - (Series 24)

  • 60K + Bonuses (depends on experience)
  • Sarasota, FL, États-Unis Sarasota FL US
  • CDI, Plein-temps
  • NAV Advisors, Inc.
  • 26 juil. 18 2018-07-26

Primary responsibilities will be monitoring retail account activity, implementing corrective actions and making sure staff acts within company procedures and policies, as well as industry regulations. Additional responsibilities include active involvement in surveillance and supervisory processes, office management to support company operations by supervising and training staff and maintaining office systems.

Your primary responsibility will be monitoring retail account activity. You will be in charge of implementing corrective actions and making sure staff acts within company procedures and policies, as well as industry regulations. Additionally you will be actively involved in surveillance and supervisory processes.

Your secondary responsibility will be to partially work as the office manager to support company operations by supervising and training staff and maintaining office systems.  You will also answer incoming calls and file, fax, and photocopy documents.

Job Type:  Full-time

To be more specific you will do the following:

  • Perform ongoing trade review an supervisory functions for retail branch accounts
  • Perform branch reviews
  • Handle performance management including career development
  • Respond to requests from other offices on issues relating to supervision and surveillance
  • Act as the primary point of contact for questions on accounts or account restrictions
  • Review and approve different activities and documents that require S24 approval.
  • Review risk reports and take appropriate action
  • Identify irregular patterns and trends in trading activity
  • Perform email reviews when needed
  • Assist in responding to requests from regulatory bodies or clients
  • Help with investigative support on company projects
  • Perform partial office manager duties including:
    • Supervise staff
    • Organizing office operations
    • Recruit, select, orient, and train new staff and representatives
    • Contribute to team effort by accomplishing related results
  • Other tasks as assigned

 

Qualifications:

  • Series 7, 24, 65, or 66 required
  • Minimum 1 year experience within the securities industry
  • Post-secondary education
  • Strong knowledge of security transactions
  • Familiar with account suitability data
  • Extremely organized
  • Excellent communication skills (written and verbal)
  • Ability to work under pressure and excellent multi-tasking skills
  • Desire to work a in team environment and strong group dynamic
  • Excellent skill with Microsoft Office especially Word, Excel, and Outlook
  • Potential ability to travel (travel < 5%) must be willing to, if not already, to relocate to the Sarasota, FL area

Benefits:

  • Competitive benefits and salary
  • Medical
  • 401k

Experience:

  • 1 year in the security industry

Required Licenses:

  • 7, 24, 65, or 66