Seeking an Operating Principal - Sales Manager who will be tasked with oversight of Technology, Administrations and Operations our client Broker-Dealer client.
Your Role: Management and development of the Broker Dealer platform in order to increase revenue, control costs, reduce risk and increase customer retentionDevelop and maintain training programs, including investment products, tradingprocedures and account openingOversight of vendor service contractsResponsible for the supervisory review of new accounts.
Investment product selection and due diligence; formulate policies and controls surrounding productsHandling of networking agreement and referralsResponsible, as Broker of Record, for all referred accounts by non-registered RM'sSupervise, monitor and coach the role of the sales associate on daily activities.Review and sign "daily blotter" to ensure adherence to best practices, suitability andcorrect commission and sales charges.Review and file monthly Mutual Fund reports, Margin Reports and Options Reports.Comprehensive understanding of AML, KYC protocols and customer suitabilityDesign and implement investment solutions and strategies supporting SabadellSecurities commercial growthLead, execute and manage multiple initiatives which may include new business expansions, restructuring, system conversions and implementations Manage client relationships from the Broker Dealer perspective.
Monitor business trends, both quantitative and qualitative, and work with management in determining the FIRM's financial growth plan and objectives. Qualifications: 5+ years of experience in the financial industry within a FINRA registered Broker Dealer platformExcellent organizational, analytical, critical thinking, communication and social skills, a proactive approach to problem solving, adapt quickly, and act fast.Minimum Education requirements – Bachelors degree in Finance, Masters degree would be welcomedRequired Licenses: Series 4, Series 7, Series 24, Series 53, and Series 63