Brokerage and insurance regulatory sales supervision
Mitigate risk of loss and regulatory risk
Review variable insurance products and fixed annuities
Performs brokerage and insurance regulatory sales supervision functions for the broker-dealer and insurance agency subsidiaries of the Bancorp
Job Summary
Performs brokerage and insurance regulatory sales supervision functions for the broker-dealer and insurance agency subsidiaries of the Bancorp.
Approves or rejects a subset of business processes including rollovers, securities and / or insurance transactions for the broker-dealer, investment advisor and insurance agency.
Partners with the Compliance, Brokerage Operations, Technology and Sales leaders in the organization to ensure a best-in-class sales supervision program.
Matching Summary
Performs brokerage and insurance regulatory sales supervision functions for the broker-dealer and insurance agency subsidiaries of the Bancorp.
Salary
Base: 54,400.00 - 111,500.00 USD Annual; Bonus/Equity: Eligible for incentive compensation plan; Benefits: Comprehensive benefits program
Skills & Requirements
Must-have
Brokerage and insurance regulatory sales supervision
Mitigate risk of loss and regulatory risk
Review variable insurance products and fixed annuities
Review securities products and blotters
Review brokerage new account applications
Review advisor email correspondence
Nice-to-have
Openly exchanging ideas and opinions
Elevating concerns and following policies
Drive a positive customer experience
Identify trends and irregular trading activity
Key Requirements
High school diploma or equivalent
2 years brokerage or related work experience
Series 7, 63, and 24 required
Knowledge of FINRA, SEC, MSRB and State Securities rules