Now Hiring - PlanMember Financial Corporation - Sales Supervision Principal in Carpinteria, CA

Department

Operations

Classification

Non-Exempt, Eligible for Pre-Approved Overtime

Location

On-Site at Carpinteria, CA Headquarters or Full Time Remote is available

Position Type

Full Time

Description

PlanMember is seeking a new member to join our Sales Supervision Principal team (Suitability). You will have the position of daily reviews for all Broker/Dealer business. In addition, you will be responsible for keeping current and up-to-date on various internal and external products, industry changes and apply new SEC and FINRA rules and regulations to suitability review process. You will also be required to complete Periodic and Ad-Hoc projects as needed.

Responsibilities

• Conduct Daily Review of new and existing business through our Order Entry System
• Keep abreast of regulatory changes as it pertains to product/paperwork review; know your client, anti-money laundering and all applicable FINRA guidelines.
• Update Standard Operating Procedures as needed.
• Assist with our Pershing relationship, including signing off on new account applications and trade blotter review; Corporate Account reconciliation and sweeps; and all other Pershing projects.
• Assist and complete multi-tiered ad-hoc and periodic projects.
• May assist in yearly IRS Tax Reporting Project.
• Call out to appropriate parties regarding escalated review deficiencies
• Assist with training new representatives

Qualifications

• Knowledge of FINRA & SEC regulations
• Ability to use judgement on complex issues and document reasoning
• Skilled in the use of multiple PC applications
• Ability to multitask, meet deadlines and work independently and in a team environment
• Excellent verbal and written communication skills
• Problem resolution with strong research and analytical skills
• Statistical measures and tools are a plus
• Available for overtime & working remote.

Education

• Bachelor’s degree preferred but not required
• 3-5 years industry experience with a Broker/Dealer or other financial institution
• FINRA LICENSE – 7, 63, 24
• Series 53 and Series 4 must be obtained within your first year of employment

Salary Range:
Starting salary is typically between $65,000 and $75,000 annually, however, it is ultimately determined by the scope of the position the candidate’s relevant experience, and internal equity.