Easter Seals Jobs

Description

We're hiring for a wealth management solution holding company focused on delivering a clear path to the future of financial advice for financial professionals, financial institutions, and their clients. The Office of Supervisory Jurisdiction (OSJ) Branch Supervisor role will be responsible for assuring that all registered representatives and advisors under their supervision are in compliance with all federal, state, FINRA and SEC rules and regulations, as well as all company policies and procedures.

What you will do:

• Perform periodic conference/WebEx calls with representatives, providing regulatory insight and training on documentation and sales best practices.

• Perform principal review of new account applications and compliance required forms.

• Perform principal review of all representative transactions (Trade Blotter).

• Perform principal review of all correspondence to and from representatives.

• Provide guidance to representatives regarding compliance matters.

• Partner with Program Manager to oversee investment program to ensure satisfactory compliance with CFS and regulatory policies.

• Train representatives, assistants, and program managers in procedures and platform/system capabilities.

• Maintains in depth working knowledge of the reporting capabilities of platform and Surveillance and ability to be utilized in the monitoring and detection of potential issues.

• Supervise activity of assigned representatives around the country that do not have an on-site OSJ.

• Travel to conduct onsite audit and/or training visits to representatives and branches. Maintain and build a working relationship with representatives to develop their skills in promoting increased business opportunities.

Qualifications:

• Bachelor's degree (B. A.) from four-year college or university; 2-3 years’ experience supervising the production of Series 7 representatives, or equivalent combination of education and experience.

• Series 7 and 24 (or 9 & 10) licenses

• Prior experience as registered principals overseeing the sales activities of retail Series 7 and 65 Representatives (ideally in a bank or credit union environment).

• Strong sales supervision background , with strong suitability analysis required.

• Product and market experience, posses’ excellent communication skills.

• Strong team player, detail oriented with excellent verbal and written communication skills.

• Proficient in Excel, Word, Power Point and Outlook

Preferred:

• Series 63, 4, 53, or 51 preferred but not required.

Pay and Benefits

The pay range for this position is $40.00 - $50.00

• Medical, dental & vision• Critical Illness, Accident, and Hospital• 401(k) Retirement Plan – Pre-tax and Roth post-tax contributions available• Life Insurance (Voluntary Life & AD&D for the employee and dependents)• Short and long-term disability• Health Spending Account (HSA)• Transportation benefits• Employee Assistance Program• Time Off/Leave (PTO, Vacation or Sick Leave)

Workplace Type

This is a fully remote position.

Application Deadline

This position will be accepting applications until Dec 19, 2024.

About TEKsystems:

We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.

The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.