Responsible for the supervision, trade review, and/or new accounts 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. Cross-trained on multiple approved products, and considered an SME expected to handle escalated Level 2 review and more complex cases. Conduct proactive training, coaching and mentoring of registered reps (RR), complete trend analysis, and engage in complaint resolution and branch/hub audits. Responsible for initiating supervision-related projects, updating procedures, and assumes heightened responsibilities within the territ...Management, Supervisor, Specialist, Senior, Wealth, Financial Advisor, Technology, Banking
...may be required to oversee a work detail of inmates from the Correctional Institution, assuring their safety and security at all times.... .... MINIMUM QUALIFICATIONS REQUIRED : Education and Experience: High School Diploma or G.E.D. One year Equipment Operator...
...PART TIME ASSISTANT MANAGER POSITION. DCM, Inc., is currently conducting a very high profile campaign on behalf of Manhattan Theatre Club. This is the opportunity for you to do something that really serves a purpose. This campaign is focused on the art form, as well...
...Description Job Description The Town of Brookline DPW is seeking qualified applicants for the position of Environmental, Health and Safety Officer to perform administrative and supervisory work developing, implementing and managing environmental, health and safety programs,...
...code of service report to ensure all applicable delay reasons are noted for DTIC metrics.Perform research and reconciliation of financial data as needed, in partnership with the Defense Financial and Accounting Service (DFAS), DAI PMO, DTIC/IAC customers.Participate...
...ALDI is looking for enthusiastic part-time store associates, stockers and cashiers. As a store associate, youll be responsible for merchandising and stocking product, cashiering, and cleaning to keep the store looking its best. As a cashier, youll provide friendly,...