Designated Principal Email Review

StoneX Group

  • Birmingham, AL
  • Permanent
  • Full-time
  • 1 month ago
OverviewPosition is responsible for serving as the OSJ principal for Independent Financial Advisors located within an assigned region. This position will be responsible for ensuring that the assigned financial advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm.Responsibilities
  • 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.
Qualifications
  • 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

StoneX Group