New job Regional and Branch Administrative Manager VP New York

LinkedIn Following

Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Regional and Branch Administrative Manager VP New York Gerald Elliott posted a job: Regional and Branch Administrative Manager VP New York "Wealth Management division of a global bank seeks a Regional & Branch Administrative Manager. Main Duties: The Role of the Regional Administrative Manager is to implement and ensure that internal and external policies and procedures are followed. Additionally, other Branch administrative functions may be assigned to the Administrative Manager. This role will have a fixed reporting line into the Head of Business Control. He/she will be responsible for the branch’s overall Sales Practice efforts including: * Ensuring adherence to internal policies and regulatory requirements. * 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. Basic 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. * 5+ 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 high net worth, institutional clients and sales personnel. To apply please submit your resume to Info@compliancesearch.com"

Go see this job post »

Don't want to get activity notifications: Change your following people settings » Learn more about following people's activity LinkedIn values your privacy. At no time has LinkedIn made your email address available to any other LinkedIn user without your permission. ©2012, LinkedIn Corporation.