Responsible for supporting the Supervisory Principals of the service team through the suitability review and approval of various transactions and other principal reviews.
ESSENTIAL DUTIES AND RESPONSIBILITIES: To perform this job successfully, individual must be able to perform each essential duty satisfactorily:
- Coordinates trade and new account supervision within a designated Kestra territory in conjunction with other members of a supervisory team.
- Review broker/dealer trade activity in SunGard.
- Conduct field office training as required.
- Responsibility for the supervisory review of written and electronic correspondence.
- Conduct email Surveillance of Registered Representatives using SMARSH.
- Review and approval of outside business activities, passive investments, political contributions and gifts and gratuities.
- Tasked with the identification and resolution of sales and conduct practices that are contrary to firm and regulatory policy. Resolution could include investigations and appropriate escalations according to policy and procedures.
- Research and prepare draft responses to regulatory and legal inquiries.
- Respond promptly to requests from Compliance, including surveillance, investigations and branch exam teams, among others.
- Ensure timely and appropriate escalation of issues and maintain relevant metrics for reporting purposes.
- Execute on projects and initiatives within agreed timeframes.
- Serves as a valued contact for advisors and other business units for resolving complicated and escalated issues.
- Other duties as assigned by Director, Manager, and VP of Supervision.
- Excellent organizational skills and strong attention to detail.
- Strong communication and presentation skills.
- The qualified candidate will work in a collaborative team environment but be individually responsible for individual results.
- Proficient with Windows applications such as Word, Excel and Outlook.
- Familiarity with paperless office concept, document scanning and contact management software.
- College degree preferred or equivalent industry experience.
- Series 7 License required.
- Series 24 License required.
- Series 63 License required.
- Series 65/66 Licenses preferred or ability to obtain within 3 months of successful employment.
A brand new state of the art building in Southwest Austin with a basketball court, volleyball court, baseball field, walking trails, unlimited coffee, tea, and sparkling water.
Full health, vision, dental, 401(k) plans along with a host of voluntary plans such as car insurance, legal services, and more.