Broker/Dealer and RIA Lead
1 day ago
We are seeking a skilled Broker/Dealer and RIA Lead to join our rapidly growing team in Orlando, Florida. As a key member of our team, you will be responsible for providing day-to-day supervision of independent contractor financial advisors.
This role offers the opportunity to work in a dynamic environment with a hybrid or remote schedule, allowing for flexibility and work-life balance.
Key Responsibilities:
- Supervise the sales activities of financial advisors to ensure compliance with industry regulations.
- Evidence suitability and best interest analysis of transactions to protect clients' interests.
- Review and approve correspondence, email, and advertising materials to ensure accuracy and adherence to company policies.
- Assist in resolving account-related deficiencies and inquiries, ensuring timely resolution and client satisfaction.
- Conduct branch examinations to monitor compliance and identify areas for improvement.
Requirements and Skills:
- FINRA Series 7 license required; FINRA 24 and 66 licenses preferred or ability to obtain within 90 days.
- A minimum of two years' experience in compliance and/or supervisory roles.
- Strong knowledge of the financial services industry, products, and services.
- Ability to prioritize tasks, manage time effectively, and maintain excellent organizational skills.
- Excellent verbal and written communication skills, with a focus on delivering high-quality results.
Compensation:
The estimated annual salary for this position is $60,000 - $80,000, depending on experience and qualifications. In addition to competitive compensation, we offer a comprehensive benefits package, including health insurance, retirement plans, and paid time off.
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