Broker-Dealer Sales Supervisor

A company is looking for a Sales Supervisor responsible for supervising Broker-Dealer activities and serving as a point-of-contact for branch offices. Key Responsibilities Supervise the review of new accounts and trades Monitor compliance with policies, procedures, and relevant regulations Develop and conduct training for financial professionals on Broker-Dealer practices Required Qualifications 2 years of experience in the FINRA and SEC regulated Broker-Dealer / RIA space with requisite licenses In-depth knowledge of FINRA Notice to Members 10-22 and Alternative Investments Strong technical skills in the MS Office software suite Series 7, 24, and 63 licenses are required; Life Insurance License preferred Operational experience is preferred