Sales Supervisor

Integrity Marketing Group • Urbandale, IA

7d • Onsite

About The Position

We are seeking a Broker-Dealer (BD) Sales Supervision professional responsible for supervising all BD related activities and serve as a home office point-of-contact. This is a ground floor opportunity with a dynamic firm with experienced leadership. This role will be multi & cross functional to join a team building a differentiated model in the Financial Services industry.

Requirements

• Over 2 years’ experience in the FINRA and SEC regulated Broker-Dealer/RIA space with the requisite licenses.
• Thorough knowledge of Alternative Investments
• Excellent interpersonal communication skills, both written and verbal
• Strong organizational skills with ability to prioritize activities
• Maintain a strong client focus and the desire to build relationships during each interaction
• Strong technical skills in the MS Office software suite (Word, Excel, PowerPoint, Outlook, etc.)
• Capable of handling multiple tasks and responsibilities
• Ability to work independently and take initiative while being part of a team
• Proven work ethic with a high level of integrity to build trust with our clients and colleagues
• College degree preferred
• Series 7, 24, 63 65 or 66
• Life Insurance License preferred
• Operational Experience preferred

Nice To Haves

• Experience with Pershing, LLC preferred

Responsibilities

• Responsible for the supervisory review of new accounts and trades
• Responsible for the review of written and electronic correspondence
• Monitor policies and procedures for compliance and relevant regulation and industry best practices
• Assist with Investment Advisory Compliance in accordance with SEC Rule 206(4)-7 of the Investment Advisers Act of 1940 and related guidance by the SEC
• Develop BD training and education materials for the financial professionals and conduct training for the same
• Review home-office compliance with relevant BD regulations
• Conduct marketing material reviews
• Monitor and review trading activity representatives outside brokerage accounts
• Assist the CCO with the resolution of disputes, regulatory audits, and customer complaints
• Work with the COO in strategic planning
• Keep abreast of regulatory changes and updates and assist with related manual and policy and procedure updates
• Other duties and projects as assigned
• Familiarity with Variable Annuity and Variable Life products

Benefits

• Competitive compensation package
• Benefits that make work more fun and give you and your family peace of mind

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level