What are the responsibilities and job description for the Supervisory Principal – Background Review position at Associate Staffing?
The Company
A prominent fortune 500 financial services firm with a nationwide network of independent financial advisors. This company offers an extensive selection of investment products and services to individuals, businesses, and institutions, with a strong emphasis on utilizing innovation and technology to cultivate client relationships.
What You Will Be Doing
The Supervisory Principal is responsible for the review of Background, Outside Business Activity, and Private Securities Transaction Requests for advisors. They are also responsible for ensuring the advisors are meeting the standards and requirements that are set by the company and conducting due diligence reviews.
Qualifications
Associate Staffing is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment based on race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity, or any other protected status under applicable law. We are committed to creating a diverse and inclusive work environment and welcome applicants from all backgrounds to apply for open positions with our company.
A prominent fortune 500 financial services firm with a nationwide network of independent financial advisors. This company offers an extensive selection of investment products and services to individuals, businesses, and institutions, with a strong emphasis on utilizing innovation and technology to cultivate client relationships.
What You Will Be Doing
The Supervisory Principal is responsible for the review of Background, Outside Business Activity, and Private Securities Transaction Requests for advisors. They are also responsible for ensuring the advisors are meeting the standards and requirements that are set by the company and conducting due diligence reviews.
Qualifications
- Licenses/Certifications Required: FINRA Series 7, Series 24, and Series 63 or 66
- Minimum of 2 years of relevant experience with Advisor Background, OBA, or Marketing Material Review
- Experience with Microsoft applications, particularly Excel, Word, Access, PowerPoint, SharePoint, and Visio
Associate Staffing is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment based on race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity, or any other protected status under applicable law. We are committed to creating a diverse and inclusive work environment and welcome applicants from all backgrounds to apply for open positions with our company.
Salary : $40 - $42