Sales Supervisor

About Lion Street

Lion Street Inc. is a privately held financial services distribution company based in Austin Texas. Lion Street provides elite independent financial advisors many of which have roots in the life insurance industry access to the financial products intellectual capital and specialized resources they need to meet the sophisticated financial planning needs of their highnetworth and corporate clients. The BrokerDealer Lion Street Financial LLC and RIA Lion Street Advisors LLC are based in Austin Texas. Founded in 2010 Lion Street is managed by a team of experienced industry veterans and is a portfolio company of Austin Ventures.

Job Summary

We are seeking a BrokerDealer (BD) Sales Supervision professional responsible for supervising all BD related activities and serve as a home office pointofcontact for LSF Branch Offices. 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.

Primary 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 20647 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 homeoffice compliance with relevant BD regulations

• Conduct marketing material reviews

• Monitor and review trading activity for LSF representatives outside brokerage accounts

• Assist the CCO with the resolution of disputes regulatory audits and customer complaints

• Work with the CCO and VP of Compliance and Supervision 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

Primary Skills & Requirements:

• 2 years experience in the FINRA and SEC regulated BrokerDealer/RIA space with the requisite licenses.

• In depth knowledge of FINRA Notice to Members 1022 regarding a BrokerDealers responsibility to conduct Due Diligence on new products being offered by the Firm

• Thorough knowledge of Alternative Investments

• Committed to creating a professional environment that places a high value on accountability and teamwork

• 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

• Can get excited about joining an experienced team and contributing to the direction and growth of the company

• Experience with Pershing LLC preferred

• College degree preferred

• Series 7 24 63 are required

• Life Insurance License preferred

• Operational Experience preferred

About Integrity

Integrity is one of the nations leading independent distributors of life health and wealth insurance products. With a strong insurtech focus we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their life health and wealth so they can prepare for the good days ahead.

Integrity offers you the opportunity to start a career in a familylike environment that is rewarding and cutting edge. Why Because we put our people first! At Integrity you can start a new career path at company youll love and well love you back. Were proud of the work we do and the culture weve built where we celebrate your hard work and support you daily. Joining us means being part of a hypergrowth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package including benefits that make work more fun and give you and your family peace of mind.

Headquartered in Dallas Texas Integrity is committed to meeting Americans wherever they are in person over the phone or online. Integritys employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information visit Integrity.

Integrity LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex gender identity national origin disability veteran status or any other characteristic protected by federal state or local law. In addition Integrity LLC will provide reasonable accommodations for qualified individuals with disabilities.