VP, Administrative Manager recruitment

Key responsibilities will include:

• Ensuring adherence to internal policies and regulatory requirements
• Accountable to understand and fulfill all responsibilities but not limited to responsibilities identified on Administrative matrix
• Develop, implement and modify as needed Sales Practice programs for entire branch office
• Communicate compliance, sales practice and legal issues of importance to senior management
• Coordinate and manage audits conducted by regulatory agencies and internal audit department
• Conduct yearly book reviews with brokers in conjunction with the Regional Manager
• Facilitate the execution of certain transactions that require Compliance and/or legal intervention
• Investigate and resolve customer complaints involving sales practice, operational and administrative issues
• Inform educate Sales Force, senior management, operational and support staff of continually changing industry rules and regulations
• Execute all Sales Practice functions in conjunction with the Regional Manager
• Assist in achieving the Firm’s goal to generate revenues while balancing the department’s obligation of adhering to internal and external rules and regulations
• Approve and review discretionary and advisory accounts which may carry additional risks to the Firm
• Included but not limited to:  review of daily trade blotters and Alerts, conducting book reviews, approving new accounts, enforcing documentation policy, suitability review, review of advisory accounts, review of employee trading, and review of errors
• Manage support staff

Person RequirementsBasic Qualifications: • Bachelors degree
• 7+ years broker/dealer and/or branch brokerage sales experience with an expertise in compliance and/or business control
• Series 7, 63 or 66 , 8 or 9/10 licenses required
• 3+ years experience identifying risk associated with trade activity, client suitability, excessive trading, general sales practice issues Preferred Qualifications: • Series 3
• Strong communication and writing skills
• Team player, action oriented, with a focus on continuous improvement in all areas of your work.
• Must have the ability to prioritize and escalate matters of concern
• Experience speaking/engaging with sophisticated HNW, institutional clients and sales personnel