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Registered Principal for Investment Operations

4 months ago

Boston, United States Baystate Financial Full time

**Registered Principal for Investment Operations**

Baystate Financial, a dynamic Financial Planning firm, is seeking a full-time Registered Principal to join our Supervisory Operations Team.

Responsibilities for this role include, but are not limited to:

- Client File Reviews
- Detached Office Inspections and Monitoring
- Compliance Resource to Firm Associates
- Disciplinary Actions and Monitoring of Tailored Supervision Plans
- Approving and Monitoring Outside Business Activities
- Personal Interviews
- Recordkeeping
- Securities Correspondence Review
- Subsequent Activity Best Interest Review for Advisor Recommendations
- Training and Education
- Social Medial Review & Approvals
- Trending Report Review
- CRIA, Reg BI and Untraded Account Reviews
- Promptly advise Compliance and\or legal personnel regarding written customer complaints
- Assist with regulatory visits, both internally and externally

Qualifications:

- Minimum 2-4 years of experience in the financial services industry.
- Strong customer service and interpersonal skills.
- Strong verbal and written communication skills.
- Ability to multitask in a fast-paced environment.
- Strong organizational and analytical skills.
- Ability to work under mínimal supervision.
- Proficiency in computer skills.
- Bachelor’s Degree and Series 7, Series 66 and Series 24 license **required. Series 53 within 6 months**

Additional Information:

- Established insurance and investment Firm in Massachusetts.
- Branch office environment, currently working in the Boston, MA or Wellesley, MA location.
- 40-hour work week during normal business hours.
- Must pass a FINRA background credentials.

Benefits/Compensation:

- Base Salary and Bonus Potential - $75,000 (based on experience)
- 401(k) Plan with employer contribution.
- Health, dental, vision insurance offered, as well as various voluntary Group options.

Equal Opportunity and Affirmative Action Employer
- If you are contacted by anyone asking for information outlined above it is likely fraudulent. If you have any concerns about the veracity of a request, please contact us directly to verify its legitimacy._

Pay: $75,000.00 per year

**Benefits**:

- 401(k)
- Dental insurance
- Health insurance
- Paid time off
- Vision insurance

Schedule:

- Monday to Friday

Work setting:

- In-person
- Office

**Education**:

- Bachelor's (required)

**Experience**:

- Financial Service: 3 years (required)

Ability to Relocate:

- Boston, MA 02210: Relocate before starting work (required)

Work Location: In person