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Brokerage/Advisory Sales Review Officer

3 months ago

Ann Arbor, United States Axtella Full time

Job Description

Seeking FINRA Series 24-licensed individual with experience in reviewing Brokerage and Advisory accounts for suitability and adherence to Regulation Best Interest. The sales review team is responsible for first-line review of new accounts and additional asset transfer recommendations. The Brokerage/Advisory Sales Review Officer will work closely with members of Compliance and other departments throughout Axtella. Requires infrequent presence at the home office location in Ann Arbor, Michigan.


Responsibilities

  • Conduct first-line review of brokerage and advisory account recommendations.
  • Answer questions related to Regulation Best Interest and general compliance matters.
  • Utilize investigative skills and knowledge of securities industry rules and regulations to make risk-based decisions on a day-to-day basis.
  • Interact with Financial Professionals to communicate compliance findings and to provide education in a professional and respectful manner.
  • Collaborate interdepartmentally to identify and solve issues based on Financial Professional and Axtella needs.
  • Participate in initiatives to continuously improve policies and procedures.
  • Contribute to various ad hoc projects as assigned by the CCO or Manager of Compliance. Assignments may include assisting with regulatory exams and requests, participation in committees, and more.


Requirements

  • Bachelor’s degree or 4 years of direct compliance-related experience.
  • 2+ years’ experience in a related position.
  • Licenses/Certifications: Series 7, Series 24.


Key Competencies

  • Excellent organizational and time management skills to meet deadlines while managing multiple tasks.
  • Strong oral and written communication skills.
  • Knowledge of FINRA, SEC, and State rules and regulations. Experience with application of Regulation Best Interest strongly preferred.
  • Knowledge of various insurance and investment products including Fixed, Indexed, and Variable Annuities, Mutual Funds, and Alternative investments.
  • Experience with various computer software including Microsoft Excel and Outlook.


We Offer You:

  • Competitive wages
  • Comprehensive benefit package
  • Paid time-off
  • Paid tuition/education benefit
  • Retirement plan, with employer match


Physical Demands / Work Environment

  • Frequently required to sit and utilize visual acuity and finger dexterity to operate equipment, including keyboard.
  • Frequently required to talk and hear via telephone handset or headset.
  • Requires infrequent presence at the home office location in Ann Arbor, Michigan.
  • At the home office, will work within an open-cubicle environment with bright fluorescent lighting and moderate noise levels.


Note: The above is intended to describe the general content of and requirements for the performance of this job. It is not to be construed as an exhaustive statement of duties, responsibilities, or physical requirements. Nothing in this job description restricts management’s right to assign or reassign duties and responsibilities to this job at any time. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.


Applicants for employment must have work authorization that does not now or in the future require sponsorship of a visa for employment authorization in the United States and Axtella, LLC.


Axtella, LLC consists of Sigma Financial Corporation, Parkland Securities LLC, and Sigma Planning Corporation. These firms, under common ownership and control, provide a unique personal experience for our independent representatives.