Sales Supervisor

Lion Street, Inc.

2 years finra and sec regulated experience
Series 7, 24, and 63 licenses required
Knowledge of finra notice to members 10-22
The role involves supervising all Broker-Dealer related activities and serving as a home office point-of-contact for branch offices

Job Summary

  • The role involves supervising all Broker-Dealer related activities and serving as a home office point-of-contact for branch offices.
  • Responsibilities include reviewing new accounts, trades, correspondence, and ensuring compliance with SEC regulations and industry best practices.
  • The position offers a ground floor opportunity with a dynamic firm managed by experienced industry veterans in the financial services sector.

Matching Summary

The role involves supervising all Broker-Dealer related activities and serving as a home office point-of-contact for branch offices.

Skills & Requirements

Must-have

  • 2 years FINRA and SEC regulated experience
  • Series 7, 24, and 63 licenses required
  • Knowledge of FINRA Notice to Members 10-22

Nice-to-have

  • Experience with Pershing LLC preferred
  • Life Insurance License preferred
  • Operational experience preferred
  • Strong interpersonal communication skills
  • Ability to work independently and take initiative

Key Requirements

  • Series 7 license
  • Series 24 license
  • Series 63 license
  • 2 years broker-dealer experience
  • College degree preferred

Work Rights

Not specified

Tailored Resume

Cover Letter