Account Supervisory

4 weeks ago


Fort Lauderdale, United States Ascendo Resources Full time

Essential Duties and Responsibilities:

  • Primary officer for all supervisory, risk and compliance functions for one group of support personnel
  • Facilitate supervisory inquiry or processes
  • Provide mentorship and coaching on policies and procedures to initiate risk awareness and compliant environment
  • Supervise all money movement and trade activities
  • Review escalations from the branch in regards with cash breaks and NAV
  • Monitor and implement procedures within risk factors
  • Oversee responsibilities outlined in the Branch Supervisory manual
  • Act as primary source for intelligence on risk in regard to client and personnel's


Education and Experience Requirements:

  • Active Series 7 and 24 REQUIRED
  • 3+ years of Sales Supervisory, Branch Compliance, or Supervision within a Broker Dealer/Wealth Management
  • Bachelor's degree in related field
  • Proficiency with SEC, FINRA, and Firm Compliance Policies & Procedures



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