PeopleSolutionsNOW is conducting a confidential search on behalf of a Financial Services Company
MUST LIVE IN CHARLOTTE. Four days per week in office | 1 day remote.
ONLY APPLICANTS HOLDING AN ACTIVE SERIES 7, 24 & 63 WILL BE CONSIDERED.
This position is a great entry point for applicants who are interested in a career in compliance.
Overview
The Associate Agency Supervisory Officer will be part of a team responsible for monitoring and adhering to all Company and Regulatory rules and regulations. This individual will work closely with the Supervisory Team to ensure all processes and procedures are being followed and to maintain a culture of compliance and integrity. This position reports to the Agency Supervisory Officer and is classified as an exempt level employee.
Responsibilities
- Conduct email and social media review and work with Advisors on corrective actions as necessary
- Conduct Personal Interviews and Detached Office reviews
- Develop and implement supervisory-related training as needed
- Review and submission of advertising materials and act as a liaison between the Home Office and the Advisor
- Assist in the processing of securities related New Business
- Review and approval of Advisor/Agency seminars and events
- Ensure that all required agency records are maintained in accordance with Company policy
- Respond to questions from Advisors and Agency Associates regarding compliance issues and Company policies
- Conduct client file reviews and monitor incoming and outgoing correspondence
- Special Projects
Qualifications/Skills/Competencies
- Series 24 license REQUIRED UPON HIRE
- Series 7 REQUIRED UPON HIRE
- Series 63 REQUIRED UPON HIRE
- Series 52 & 53 (Municipal Securities Principal) at the time of hire or REQUIRED TO OBTAIN POST HIRE (w/in 12 months of hire)
- No material disciplinary history
- Excellent written and verbal communication skills
- Strong attention to detail
- Ability to work in a fast-paced environment
- Handle multiple priorities in a constantly changing environment
What We Offer You
- A supportive and dynamic culture committed to its core values
- Opportunities to grow and develop
- Base salary commensurate with experience and bonus program
- Benefits including medical, dental, vision and 401(k) Savings Plan.
- Competitive vacation/PTO program
Ready to take the Next Step? If this sounds like you, we would love to hear from you!