We have the opportunity for a professional individual to assume the role of OSJ Manager. The OSJ Manager is responsible for the supervision of Registered Representatives, Investment Advisor Representatives, Sales Assistants, Compliance Principals and Compliance Specialists to ensure all rules and regulations of the firm, FINRA, SEC, and State Securities Departments are followed.
Key responsibilities include, but are not limited to:
- Day to day management and support of assigned personnel and work items to ensure proper supervision of all activities related to assigned Representatives/Advisors
- Manage and monitor all ongoing training requirements for assigned Representatives, Advisors, and support staff
- Review all exception and compliance reports and follow up on any deficiencies identify in a timely manner
- Research issues and potential risks to the firm, taking appropriate action as necessary
- Review audit findings/reports and coordinate with Audit department and Representative/Advisor to correct any deficiencies
- Assist with regulatory and/or audit requests
- Escalate suspicious or unusual activity
- Manage verbal complaint process for assigned Representatives/Advisors
The ideal candidate will have strong attention to detail and the ability to identify regulatory issues and compliance concerns. Candidate must have excellent problem-solving skills, work well in a team environment, and demonstrate top-notch communication skills and continual focus on customer service.
Candidate must have the ability to make regulatory and supervisory based decisions on a timely basis and possess strong knowledge of a variety of investment products and services. Proactive collaboration with internal and external clients and ability to stay current with regulatory trends in the financial services industry will be essential. Required skills also include strong time management and the ability to multitask with numerous operational processes and multiple data input platforms. Candidate will be proficient in word processing, database, spreadsheet, email, and web-based software.
5-10 years of financial services industry experience and 3-5 years of supervisory experience is required. Compliance experience is preferred. FINRA series 7, 24, and 63 or 66 are required. FINRA series 4 and 53 are preferred. Must be willing to obtain Iowa Insurance License and additional FINRA Licenses as required.
This position may require up to 25% travel.
This position offers comprehensive benefits, including:
- Health, dental and vision insurance
- Paid time off
- Short term and long-term disability coverage
- Life Insurance
- On site fitness center
We offer a great working environment in a beautiful and professional office location. This is your opportunity to play a key role in the continued success of our company. Our culture is fast-paced, motivational and focused on improving our client’s lives.
If you are interested in this opportunity, please send your cover letter, resume, and salary requirements to firstname.lastname@example.org.