Responsible for supervising all Broker-Dealer related activities and serving as a home office point-of-contact for LSF Branch Offices
Job Summary
Responsible for supervising all Broker-Dealer related activities and serving as a home office point-of-contact for LSF Branch Offices.
This role will be multi & cross functional to join a team building a differentiated model in the Financial Services industry.
In exchange for your hard work and dedication, we offer a competitive compensation package, medical, dental, vision and life insurance, voluntary disability, paid time off, and 401K with company match.
Matching Summary
Responsible for supervising all Broker-Dealer related activities and serving as a home office point-of-contact for LSF Branch Offices.
Skills & Requirements
Must-have
Broker-Dealer sales supervision
FINRA and SEC regulated space
Review new accounts and trades
Review written and electronic correspondence
Monitor policies and procedures for compliance
Develop BD training and education materials
Nice-to-have
High value on accountability and teamwork
Strong client focus and relationship building
Contribute to company direction and growth
Collaborative, creative environment
Key Requirements
Over 2 years experience in FINRA and SEC regulated space