Central Supervision Principal
| Company | KeyCorp |
|---|---|
| Location | Brooklyn, OH, USA, Albany, NY, USA, Buffalo, NY, USA |
| Salary | $75000 – $90000 |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Senior |
Requirements
- Bachelor’s degree – Business Administration preferred
- A minimum of 5 years’ experience in securities supervision/compliance activity within a brokerage or bank-based brokerage firm.
- FINRA Series 7, 63 & 65 (or 66), 24, and 53 licenses
- Health, life, variable insurance licenses for applicable states
Responsibilities
- Act as formally designated FINRA general principal in all regulatory capacities for activities of KIS registered representatives in assigned territory.
- Develop and maintain an active and productive relationship with Sales Leaders and KIS registered representatives for corresponding territories, including regular communication and participation in group events, meetings and presentations.
- Conduct supervisory principal review of all trading activity
- Conduct supervisory principal review of all annuity & insurance contracts
- Conduct supervisory principal review of advisory program selections and model changes
- Perform oversight of financial plans generated by KIS registered representatives
- Conduct periodic review of sales activity and exception reports, working with KIS registered representatives on issue resolution.
- Identify sales activity trends or patterns, and work with the KIS registered representatives to resolve concerns or issues, as necessary.
- Perform reviews for all registered representatives on heightened supervision and/or special review
- Review all customer complaints received for the territories he/she supports, and work with KIS Compliance, KIS registered representatives and Sales Leaders in a collaborative nature to resolve complaints.
- Contact customers directly to research and resolve complaints, as necessary.
- Ensure electronic records of all client files are maintained in accordance with firm and regulatory guidelines.
- Complete required monthly and quarterly certifications to KIS Compliance.
- Assist and respond to internal and external audit reviews and information gathering requests.
- Actively participate in training of KIS registered representatives.
Preferred Qualifications
- Strong knowledge of investment products, including annuities and insurance. Ability to apply financial needs analysis and asset allocation concepts.
- Strong knowledge of SEC & FINRA rules & regulations