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.
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