WM Direct Regional Supervisor Job

WM Direct Regional Supervisor (Job Number: 1304170)

Description

Responsible for supervision of all business activity related to the operation of the Wealth Advisors and Wealth Management Direct Divisions of MBSC Securities Corporation. Responsible for licensing, training, and supervision of Registered Representatives, including Referral Representative Program and licensed customer service representatives and associated staff. Liaison between Registered Representative, MBSC customer service representatives and National Supervisor. Responsible for implementation and monitoring of all compliance and auditing requirements associated with MBSC procedures and policies pertaining to office locations and Office of Supervisory Jurisdiction. Ensure all offices provide a high quality, controlled environment in which to conduct Wealth Management Direct business in accordance with business line objectives and goals in compliance with MBSC policies and procedures. 5 years operational and compliance brokerage experience with strong interpersonal and organizational skills. Understand and anticipate problem situations to ensure minimal risk to business lines. Diplomacy and assertive in resolving issues concerning Registered Representatives and clients. This position reports to National Supervisor of Wealth Management Direct and has significant impact on the Wealth Management Direct business line and MBSC Securities.

Qualifications

Knowledgeable, responsible, accountable skills are a critical requirement for this position. Daily interaction with 90 Private Banking management and Wealth Management professionals and support staff as well as high level management and clients. Diplomacy, knowledge and dependability are key requirements in this position. Undergraduate and five years of experience in the financial services industry desired. Candidate is required to possess series 7 and 63 licenses. Candidate is also required to possess Series 24 license or obtain such license within the first six months of employment

Primary Location: United States-USA-PA-Pittsburgh
Internal Jobcode: 31194
Job: Wealth Management
Organization: Private Banking-HR06673

May 5, 2013 • Tags:  • Posted in: Financial

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