OSJ Manager for North Dallas and Houston Offices

North Dallas Broker/Dealer needs OSJ Manager

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Responsibilities

 

* General supervision of the sales activities of registered representatives acting in a sales capacity located in a designated territory.


* Conduct and evidence the suitability analysis of transactions.

 

* Assist the Compliance Department in resolving paperwork and other account-related deficiencies and inquiries.


 

* Review and approve new accounts, and track, report and resolve deficiencies and inquiries related to new account opening and anti-money laundering procedures. 


* Assist the Compliance Department in the implementation process for new financial institutions.


* Assist the Compliance Department in the investigation and resolution of customer complaints and other compliance issues.

 

* Assist the Compliance Department in carrying out heightened supervisory oversight of the registered representatives in a designated territory.

 

* Primary on-site contact for Compliance Department exams of the OSJ.

 

* Create and maintain the required SEC, FINRA and state securities books and records on-site.

 

* Assist with FINRA registered and non-registered branch office exams as needed.

 

 

Qualifications

 

- FINRA Series 7, 24, and 63 registrations

 

- Minimum of three years compliance and/or supervisory experience.

 

- Strong knowledge of financial services industry and Pershing products & services.

 

- Knowledge of Broker/Dealer regulatory issues.

 

- Knowledge of financial services industry.

 

- Knowledge of compliance policies and procedures.

 

- Aptitude for analysis, investigation & problem solving.

 

- Demonstrated ability to cope with change and ability to manage multiple priorities.

 

- Strong oral/written communication skills, demonstrated organization skills, demonstrated conflict management skills, demonstrated leadership skills and the ability to influence behavior.

 

- Self-motivated with the ability to achieve results in an independent environment, aptitude & comfort with technology, training & delivery skills.

 

 

  Please include salary requirements with submission