Designated Principal Email Review
Found in: Resume Library US A2 - 2 weeks ago
Connecting clients to markets – and talent to opportunity
With 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices spread across five continents, we’re a Fortune-100, Nasdaq-listed provider, connecting clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors.
Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, The StoneX Group is made up of four segments that offer endless potential for progression and growth.
Business Segment Overview:
Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology.
Position Purpose:
Position is responsible for serving as the OSJ principal for Independent Financial Advisors located within an assigned region. This position will be responsible for ensuring that the assigned financial advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm.
Responsibilities:
Primary duties will include:
Reviews and approves new account applications
Reviews transactions on a trade blotter
Reviews and approves variable annuities, mutual funds, securities transactions for suitability and documentation
Reviews advisor email and client correspondence.
Serves as a point of contact for compliance related matters on assigned advisors
Educates advisors concerning firm policies and procedures
Conducts business practice reviews as needed and investigates sales practice concerns as they arise.
Serves as point person for investigations and recommends disciplinary action as needed.
Maintains prompt and regular attendance
This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.
Qualifications:
To land this role you will need:
Previous experience in a broker-dealer business, investment advisory or related field
Previous experience in supervision is preferred
Thorough knowledge of mutual funds, variable annuities, general securities and other financial products
Excellent organizational skills
Detail oriented
Speed & accuracy in typing
Excellent written and verbal communication skills
Proficient in Microsoft Office Suite
Ability to adhere to strict timelines
Must be able to work in the US for any employer
Education / Certification Requirements:
Series 7, 24 and 66 (or 63 and 65) or ability to obtain within 6 months of hire
Bachelor’s Degree in Finance, Investments, Economics or related discipline
Working environment:
Hybrid In-Office 3 Days
#LI-Onsite #LI-GM1
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