Lion Street is seeking a Sales Supervisor to oversee Broker-Dealer activities in a remote setting, focusing on compliance and training for financial professionals. The ideal candidate should have at least two years of experience in the FINRA and SEC regulated space, along with relevant licenses and strong communication skills
Job Summary
This role is responsible for supervising all Broker-Dealer (BD) related activities and serving as a home office point-of-contact for LSF Branch Offices.
Primary responsibilities include supervisory review of new accounts, trades, correspondence, and marketing materials, as well as assisting with Investment Advisory Compliance.
The ideal candidate will have 2 years of experience in the FINRA and SEC regulated Broker-Dealer/RIA space with requisite licenses and thorough knowledge of Alternative Investments.
Matching Summary
Match Score: 85
Lion Street is seeking a Sales Supervisor to oversee Broker-Dealer activities in a remote setting, focusing on compliance and training for financial professionals. The ideal candidate should have at least two years of experience in the FINRA and SEC regulated space, along with relevant licenses and strong communication skills.
Skills & Requirements
Must-have
Broker-Dealer (BD) activities supervision
Review of new accounts and trades
Written and electronic correspondence review
FINRA and SEC regulated Broker-Dealer/RIA space
Due Diligence on new products
Nice-to-have
Building a differentiated model
Professional environment with accountability
Strong client focus and relationship building
Excited about joining an experienced team
Key Requirements
2 years experience in FINRA and SEC regulated Broker-Dealer/RIA space