Location: Albany, NY
Our client is currently seeking a Securities Sales Supervisor. The Securities Sales Supervisor will be responsible for supervision of financial representatives as well as ensuring all laws and regulations are followed. This is a full-time, permanent position.
- Oversee financial representatives and their direct reports.
- Providing oversight of compliance and ensuring regulatory requirements are followed and met.
- Ensure the firm is compliant with all necessary rules, regulations, policies, and procedures.
- Maintain electronic records of all investment product transactions.
- Provide training on compliance rules and record keeping.
- Act as registered principal for branch activities, such as securities transactions.
- 2+ years of progressive experience in the financial industry.
- Must have a Bachelor’s Degree in a relevant field.
- Candidates must have their Series 7 and 63, and be willing to obtain Series 9/10 within 6 months.
- NY State Life & Health License is required.
- Must have management experience and possess leadership skills.
- Strong organizational skills and advanced written and verbal communication skills.
- May require some travel.
If you are qualified for this position, please apply using our secure online form.