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Broker Dealer/Investment Adviser Supervisory Principal

2 months ago

Dallas, United States Level Four Group, LLC Full time
Job DescriptionJob DescriptionOur Team is growing, and we need you

Come be a part of this disruption in the financial services marketplace

By joining the Level Four family of companies, you’ll be joining one of the fastest growing wealth management firms in the country. After 20+ years, we still have an entrepreneurial spirit, dedicated to embracing change. We are national in scope with offices throughout the U.S., yet with local roots here in North Texas.

We offer:
  • Casual Work Environment
  • Generous Paid Time Off
  • Flexible Work Schedule
  • Great Benefits
  • And More…
Come take your career path to the next level

The position will serve as a Branch Manager / Supervisory Principal (Generalist role) for an SEC investment advisory firm, Level Four Advisory Services, LLC and its affiliated broker dealer, Level Four Financial Services, LLC.

The position requires a professional with diplomatic and analytical skills who can flourish in a challenging, fast-paced and professional environment with frequent shifts in priorities as business needs dictate. The successful candidate will have a proven track record of leadership, strategic thinking, building strong relationships and successful collaboration with internal and external business partners, clients and regulatory bodies.

This is accomplished by providing support as a branch manager/supervisory principal to supervise registered representative and IAR activities. The individual will be responsible for various supervisory duties as assigned, which will include, but is not limited to, review and approval of new accounts, transactions, money movements, suitability and best interest reviews, post trade blotter review, transactional approvals, email surveillance and review and general centralized compliance oversight for the firm(s).  Additionally, there may be times where branch office examinations are required to be conducted in accordance with industry regulations.

Essential responsibilities and tasks of the Branch Manager / Supervisory Principal are:
  • Help staff and associated representatives develop a broader skill base and level of understanding of risks.
  • Conduct daily reviews of trades, paperwork, emails and correspondence.
  • Centralized compliance supervision of firm’s registered representatives
  • Review accounts for suitability, best interest and proper management.
  • Identify and analyze risks through reviews, fieldwork and research.
  • Help staff and associated representatives develop a broader skill base and level of understanding of risks and their compliance responsibilities.
  • Identify areas for control improvement and work with management to develop solutions.
  • Develop presentations for delivery within compliance as well as to representative and Senior Management.
  • Respond to special requests from Senior Management.
  • Participate in and provide control guidance to management initiatives.
  • Integrate/coordinate and conduct projects with other internal and external teams.
  • Develop a strong relationship with clients to help manage risks proactively.
  • Assist with the branch office examinations process for registered broker dealer and investment advisor representative offices.
  • Additional duties as required
Successful Branch Manager / Supervisory Principal candidates will have:
  • Strong regulatory and business knowledge, analytical and problem-solving skills.
  • Strong presentation, written, and interpersonal communication skills
  • Ability to work on multiple tasks and manage team priorities and workload
  • In-depth knowledge of compliance practices, tools, techniques, concepts, and trends
  • Team player who works constructively with others to achieve team goals
  • Ability to work independently as well as collaboratively in a team environment
  • Ability to organize, prioritize, and work concurrently on multiple assignments to meet conflicting deadlines in a fast-paced work environment.
Required
  • BA/BS in Accounting, Finance or related field of study
  • Minimum of six (6) years of brokerage and investment advisory compliance experience
  • FINRA Series 7 and  24 and 63, and 65 (or 66) required
  • Experience and knowledge of FINRA, SEC, state securities and firm specific rules and regulations
  • Familiarity with the knowledge of the securities industry, from a product, corporate governance, compliance and administrative perspective, including without limitation, knowledge of federal and state-level securities regulations
  • The ability to work as part of a team which includes excellent communication skills.
  • Working knowledge of Microsoft applications (Word, Excel, Outlook)
Preferred
  • Minimum of three to five (3-5) years of experience as a broker dealer supervisory principal
  • Familiarity with Raymond James systems
Helpful but not required
  • Familiarity with Black Diamond system
  • Familiarity with Charles Schwab’s “Schwab Advisor” and/or Fidelity’s “Wealthscape” applications
  • Familiarity with Global Relay, Sales Force & Laserfiche

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