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Job #: 17594
Status: Inactive / Filled
Job Location: Fort Worth, TX
Base Compensation: $100,000 — $120,000
Total Compensation: $125,000 — $150,000
Benefits: Full
Is Employer Willing to Relocate?: Yes
Employment Type: Full Time / Direct Hire
Job Categories: Investments & Securities
Industries: Banking


A high level position with a Bank with offices throughout the US!


Perform a key role in the further development and continued implementation of the Bank's Supervisory Program. This position will have primary oversight of Registered Principals’, Licensed Advisors’ and selected employees’ activities for compliance with FINRA and various state and federal securities rules and regulations. Assigned to analyze internal policies, business areas and processes, and new regulations in order to recommend and implement the appropriate steps. Responsible for hiring and supervising staff.


A) Administration of Registered Principals in their review of all trades in stocks, mutual funds, variable annuities, fixed annuities, alternative investments, bonds, municipal bonds, REITs, exchange traded funds, limited partnerships, and collateralized mortgage obligations. B) Administration of the supervisory program with respect to the financial books and records in the branch offices to include check received blotters, securities received blotters. C) Ensures suitability of all trades and all compliance requirements. D) Works with and coordinates with compliance during inspections to ensure compliance with record-keeping regulations and written supervisory procedures, as well as to review daily blotters, commission records, personnel files and complaints. E) Administers the principal review and approval of all Advisors’ correspondence, sales literature and advertising materials to ensure it meets applicable FINRA standards. F) Coordinates directly with field leadership G) Documents departmental policies and procedures. F) Develop key supervision metrics and report results to appropriate management teams. G) Develop Home-Office Centralized Supervision Model for the broker-dealer. H) Develop training / education programs related to these efforts to all registered principals and others related to key supervisory issues both with respect to activities within the firm as well as industry developments. 5) Coordinates the firm’s Written Supervisory procedures with the Compliance Department.
Preferred Qualifications: Bachelor’s Degree required. Licensure: Series-7, Series-24, Series 53 Required ? 5 years as a solid performer in sales supervision capacity. Must have experience in a brokerage model and must have experience with sueprvision of alternative investments, including, but not limited to, REITs, LPs, and DPPs. Communication Abilities: A very high level of interpersonal communication skills is required.
Education: Bachelor's
Licenses: FINRA Registered Rep - Series 7 - Stock Broker; FINRA Registered Principal - Series 24; FINRA Registered Principal - Series 53
Total Years of Experience: 5-6+
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