Central Supervision Analyst

Davenport & Co. • Richmond, VA

12d

About The Position

This full-time, exempt position is responsible for providing branch supervisory support for all retail sales activities throughout the firm with a focus on conducting supervisory review of Fixed Income activity. This individual will report to the manager of Central Supervision.

Requirements

• Four-year degree or equivalent work experience in brokerage field
• Series 7, Series 9/10 (or equivalent), Series 66 (or Series 63 & 65)
• Excellent communication skills
• Ability to maintain confidentiality
• Organized with good analytical skills and attention to detail
• Working knowledge of Microsoft Word, Excel and Adobe Acrobat
• Self-starter, capable of working with limited supervision
• Ability to prioritize work assignments

Nice To Haves

• Series 53 Preferred, or the ability to obtain within 90 days of hire

Responsibilities

• Monitor trade reporting to MSRB and FINRA
• Review and supervise Fixed Income trades for best execution and adherence to trading and inventory guidelines
• Monitor syndicate underwriting including due diligence
• Provide supervisory support for assigned retail branches including review of trade activity, correspondence, new accounts, ongoing account review, and other such supervisory duties as needed
• Work closely with branch personnel and other departments to ensure proper supervision of retail activity
• Serve as the branch manager for approval of daily administrative retail sales tasks on an as-needed basis
• Assist in maintaining and updating procedure manuals and branch supervisory procedures
• Build strong relationships with assigned retail branches and home office personnel

Benefits

• We offer a competitive salary and excellent benefit program, including safe harbor 401(k) contribution, profit sharing plan, disability and life insurance, high-deductible health plan with an HSA, an on-site Health Center, Paid Time Off and elective dental benefits.
• We offer wellness programs and support a friendly and collegial culture, with company sponsored volunteer opportunities during business hours.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 251-500 employees