FINRA Licensed Team Lead
FINRA Licensed Team Lead
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
Location: McKinley West Taguig
Benefits: Free parking (first come first served)
Work Setup: Hybrid work set up 3x/week onsite
Required Qualifications:
- FINRA Series 7 and Series 24 are required; Series 66 is an advantage.
- Bachelors degree or equivalent work experience
- 8 years of work experience plus 2 years related in financial services securities operations compliance and or supervision
- Previous work experience in direct management and leadership roles
- Effective stakeholder management
- Excellent written and verbal communication skills
- Willingness and ability to work in night/rotational shifts.
Job Description:
- Manage the stakeholder expectation to support the operations of the company comply with the FINRA and regulatory guidelines; apply knowledge of operations and brokerdealer supervision and FINRA regulations/procedures and state & federal regulations to make appropriate accurate and timely decisions.
- Ensuring the Reporting in terms of team & individual training progress to superiors.
- Communicates strategy company goals and deadlines to the team. Motivate team members and assess performance.
- Communicates concerns and policies among management and team members.
- Responsible for effective stakeholder management new migrations customer satisfaction operational risk management and for building a culture of innovation and process simplification.
- Design develop coordinate and conduct large or smallscale training programs required for individuals and teams.
- Review general transactions by associates in all products to ensure they are appropriate for the client and adhere to regulations.
- Responsible for reviewing new business emails processes and financial plans analyzing products and communicating with the Advisor Network
Employment Type
Full Time
