Description :
The Central Review Principal will be aligned with the Regional Sales Managers and Regional Compliance Officers to provide a consistent evaluation of the licensed reprsentatives in that region. Each principal will be responsible for the review and decisioning of approximately 20-25+ series 7 brokers and 130+ series 6 licensed representatives. The Central Review Principal will sign as principal approving approximately 150+ new account applications a week and 1000+ weekly stock transactions. They will also review and evaluate approximately 100+ annuity and insurance applications each week.
The Central Review Principal will make final decisions on the acceptance of account applications and daily trade activity. The principal will work closely with the Central Review Manager on cases that require closer evaluation. The Central Review Principal will report unacceptable activity to the Regional Compliance Officer for further broker training.
The Central Review Principal will be responsible for 20-25+ Series 7 Licensed Brokers
130+ Series 6 Licensed Representatives.
You and your skills-
Bachelor's degree or the equivalent
* Bachelor's Degree or the equivalent
* Series 7, 63 or 66 required, Series 24 preferred
* State life and health insurance license a plus
* In lieu of degree, five to seven years in the Financial Services area with a demonstrated success in investment and asset management products, compliance or audit preferred
* Leadership and management experience in a team environment strongly preferred
* Proven customer service skills and excellent time management a plus.