Registered Principal for Investment Operations

Baystate Financial, a dynamic Financial Planning firm, is seeking a full-time Registered Principal to join our Supervisory Operations Team.

Responsibilities for this role include, but are not limited to:

· Client File Reviews

· Detached Office Inspections and Monitoring

· Compliance Resource to Firm Associates

· Disciplinary Actions and Monitoring of Tailored Supervision Plans

· Approving and Monitoring Outside Business Activities

· Personal Interviews

· Recordkeeping

· Securities Correspondence Review

· Subsequent Activity Best Interest Review for Advisor Recommendations

· Training and Education

· Social Medial Review & Approvals

· Trending Report Review

· CRIA, Reg BI and Untraded Account Reviews

· Promptly advise Compliance and\or legal personnel regarding written customer complaints

· Assist with regulatory visits, both internally and externally

Qualifications:

• Minimum 2-4 years of experience in the financial services industry.
• Strong customer service and interpersonal skills.
• Strong verbal and written communication skills.
• Ability to multitask in a fast-paced environment.
• Strong organizational and analytical skills.
• Ability to work under minimal supervision.
• Proficiency in computer skills.
• Bachelor’s Degree and Series 7, Series 66 and Series 24 license required. Series 53 within 6 months

Additional Information:

• Established insurance and investment Firm in Massachusetts.
• Branch office environment, currently working in the Boston, MA or Wellesley, MA location.
• 40-hour work week during normal business hours.
• Must pass a FINRA background credentials.

Benefits/Compensation:

• Base Salary and Bonus Potential - $75,000 (based on experience)
• 401(k) Plan with employer contribution.
• Health, dental, vision insurance offered, as well as various voluntary Group options.

Equal Opportunity and Affirmative Action Employer

We will never ask job candidates to pay any kind of fee, make cash or check advancements, cash checks or make an investment in any product or service or provide information such as credit card numbers or banking PIN numbers as part of our hiring process.

If you are contacted by anyone asking for information outlined above it is likely fraudulent. If you have any concerns about the veracity of a request, please contact us directly to verify its legitimacy.

Job Type: Full-time

Pay: $75,000.00 per year

Benefits:

• 401(k)
• Dental insurance
• Health insurance
• Paid time off
• Vision insurance

Schedule:

• Monday to Friday

Work setting:

• In-person
• Office

Education:

• Bachelor's (Required)

Experience:

• Financial Service: 3 years (Required)

Ability to Relocate:

• Wellesley, MA 02481: Relocate before starting work (Required)

Work Location: In person