Responsible for the supervision and trade review of Financial Advisors (FA) and registered branches in assigned regions to ensure compliance with securities and insurance industry rules and reg and firm policy. Review surveillance alerts and reports assigned to them on a regional or centralized level to identify patterns, trends and/or concerns in regards to FAs' sales practice activity. Review trades and/or new accounts; diagnose, raise and process escalations, as well as other items requiring principal review and approval at the regional level. Conduct proactive training, coaching and mentoring of registered reps (RR), complete trend analysis, and engage in complaint resolution and branch/hub audits. Work closely with Operations, Regional Supervision, Financial Advisors, Sales Management and support staff, Compliance, Legal and Risk partners to assist with escalations, legal matters, complaints, new account approvals and daily trade review. Collaborates with various business partners...Management, Supervisor, Specialist, Wealth, Financial Advisor, Escalations, Banking
...Become a Remote Travel Coordinator and turn your love for travel into a rewarding career.This role allows you to combine your love for travel with the freedom of working remotely. Have you been booking travel and not getting paid? Here's what you need to know...
Now Hiring: Jr. Finance / Operations Analyst6-12 Month Contract | Potential for Extension or Full-Time ConversionAre you a recent graduate... ..., detail-oriented Jr. Finance / Ops Analyst to join a leading financial services company in Columbus, OH.Youll be responsible for...
...Job Description Job Description As a Bike Delivery Courier at our Hells Kitchen store located at 283 Bleecker St. New York, NY 10014 you are our Boots on the ground!, and the main face that our Insomniacs see outside of the bakery! You give the word Delivery a...
...~ Opportunity for advancement ~ Relocation bonus ~ Vision insurance Graff Chevrolet/Nissan is looking for an experience parts associate. 1-3 years of automotive parts experience is required. Motivated, reliable, positive individual who is looking to grow...
...Medical Education at Beebe Healthcare is seeking an experienced and dynamic physician to serve as the inaugural Program Director for our Hospice and Palliative Care Fellowship. The inaugural PD will be responsible to develop, design and implement the new training program in a...