$57,783.96-$150,000.00; not specified; eligible fo...
Remote
Compliance oversight and adherence
Develop and implement sales plans
Manage branch revenue and expenses
Manages the compliance oversight, ensuring adherence to firm and regulatory policies and procedures
Job Summary
Manages the compliance oversight, ensuring adherence to firm and regulatory policies and procedures.
Develops and implements plans to meet office sales goals, oversees daily trading and other office activities.
The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions.
Matching Summary
Manages the compliance oversight, ensuring adherence to firm and regulatory policies and procedures.
Salary
$57,783.96-$150,000.00; Not specified; Eligible for benefits package
Skills & Requirements
Must-have
Compliance oversight and adherence
Develop and implement sales plans
Manage branch revenue and expenses
Supervise daily trading activities
Service clients in own book of business
Nice-to-have
Community affairs representative
Continuous learning of investment products
Project professional and pleasant demeanor
Key Requirements
Bachelor's degree or equivalent
Minimum 3 years financial services experience
SIE, Series 7, 9 & 10 (or 8), Series 63 & 65, or 66