Operating Principal

4 weeks ago


Miami, United States Ascendo Resources Full time

Seeking an Operating Principal - Sales Manager who will be tasked with oversight of Technology, Administrations and Operations our client Broker-Dealer client.


Your Role:

  • Management and development of the Broker Dealer platform in order to increase revenue, control costs, reduce risk and increase customer retention
  • Develop and maintain training programs, including investment products, trading
  • procedures and account opening
  • Oversight of vendor service contracts
  • Responsible for the supervisory review of new accounts.
  • Investment product selection and due diligence; formulate policies and controls surrounding products
  • Handling of networking agreement and referrals
  • Responsible, as Broker of Record, for all referred accounts by non-registered RM’s
  • Supervise, monitor and coach the role of the sales associate on daily activities.
  • Review and sign “daily blotter” to ensure adherence to best practices, suitability and
  • correct commission and sales charges.
  • Review and file monthly Mutual Fund reports, Margin Reports and Options Reports.
  • Comprehensive understanding of AML, KYC protocols and customer suitability
  • Design and implement investment solutions and strategies supporting Sabadell
  • Securities commercial growth
  • Lead, execute and manage multiple initiatives which may include new business expansions, restructuring, system conversions and implementations
  • Manage client relationships from the Broker Dealer perspective.
  • Monitor business trends, both quantitative and qualitative, and work with management in determining the FIRM’s financial growth plan and objectives.


Qualifications:

  • 5+ years of experience in the financial industry within a FINRA registered Broker Dealer platform
  • Excellent organizational, analytical, critical thinking, communication and social skills, a proactive approach to problem solving, adapt quickly, and act fast.
  • Minimum Education requirements – Bachelors degree in Finance, Masters degree would be welcomed
  • Required Licenses: Series 4, Series 7, Series 24, Series 53, and Series 63


  • Operating Principal

    4 weeks ago


    miami, United States Ascendo Resources Full time

    Seeking an Operating Principal - Sales Manager who will be tasked with oversight of Technology, Administrations and Operations our client Broker-Dealer client.Your Role:Management and development of the Broker Dealer platform in order to increase revenue, control costs, reduce risk and increase customer retentionDevelop and maintain training programs,...

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    4 weeks ago


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