Designated Principal Email Review
StoneX Group
- Birmingham, AL
- Permanent
- Full-time
- Reviews and approves new account applications
- Reviews transactions on a trade blotter
- Reviews and approves variable annuities, mutual funds, securities transactions for suitability and documentation
- Reviews advisor email and client correspondence.
- Serves as a point of contact for compliance related matters on assigned advisors
- Educates advisors concerning firm policies and procedures
- Conducts business practice reviews as needed and investigates sales practice concerns as they arise.
- Serves as point person for investigations and recommends disciplinary action as needed.
- Maintains prompt and regular attendance
- This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.
- Bachelor’s Degree in Finance, Investments, Economics or related discipline
- Previous experience in a broker-dealer business, investment advisory or related field
- Previous experience in supervision is preferred
- Thorough knowledge of mutual funds, variable annuities, general securities and other financial products
- Series 7, 24 and 66 (or 63 and 65) or ability to obtain within 6 months of hire
- Excellent organizational skills
- Detail oriented
- Speed & accuracy in typing
- Excellent written and verbal communication skills
- Proficient in Microsoft Office Suite
- Ability to adhere to strict timelines
- Must be able to work in the US for any employer