Operations Supervisory Principal
Broker Dealer/RIA in NW suburbs or Chicago, IL, is hiring an Operations Supervisory Principal
The responsibilities of this position will be to provide support to advisors and branches as well as clearing firms and custodians. Will include all aspects of daily processing such as approving new accounts in a supervisory capacity, check requests, fed wires, general inquiries, customer service, etc. Additionally, the supervisor may support the financial advisors with respect to client inquiries, communications, and product support.
The ideal candidate must have experience in the investment services industry, quick to learn, exceptional customer service skills, critical thinking capabilities, strong initiative, effective written and verbal communication skills, ability to work in fast paced environment and ability to multi task.
Experience with RBC, Pershing and/or Charles Schwab platforms a plus. Salary commensurate with experience.
Qualifications
- 3+ years of relevant securities experience, preferably in compliance or supervision.
- An understanding of variable and fixed annuities, limited partnerships, REITS, mutual funds, options, fixed income, municipal bonds and all other securities products.
- FINRA licenses: 24, 7, 53 required as well as 65/63 or 66 upon hiring
