Field Supervisor I (FINRA Series 24)
Core
Review general transactions in Principal Securities products to ensure client appropriateness and regulatory adherence; act as a liaison between Compliance and operations to fulfill reporting requirements and assist in settling customer complaints.
Role type
Field Supervisor I (Securities Operations)
Builds
Principal Securities products and services
Domain
Financial Services / Securities
Deliverable
client delivery
Required skills
FINRA Series 7, FINRA Series 24, knowledge of securities products (stocks, bonds, mutual funds, annuities, insurance), regulatory compliance knowledge, attention to detail, independent work capability
Preferred skills
FINRA Series 66
Technologies
business unit software
Responsibilities
Review new business, emails, processes, and financial plans; communicate with the Principal Advisor Network; research, respond, and settle formal customer complaints; maintain comprehensive knowledge of system capabilities.
Seniority
Individual Contributor, entry-to-mid level