HFP Capital Markets is a full-service, registered broker/dealer serving the needs of its' clients. We are currently looking for an experienced Branch Manager for our New York office.
The ideal candidate possesses:
Strong attention to detail and problem solving
Excellent communication and organizational skills;
The successful candidate should be able to work effectively and efficiently in a fast paced environment that requires exceptional precision.
Has a thorough understanding of the Firm’s products and those of its strategic partners; uses this knowledge to provide resources and direction in order to drive sales.
Responsible for fiscal management, personnel management and morale, business ethics and practices, and compliance with all Federal, State, and Local laws and regulations;
Running Day to day operations of the branch;
Reviewing, approving New Account paperwork, portfolios, trades, wires, and journals;
Performing essential compliance duties daily, weekly, and monthly within the branch;
Responsible for regulatory, legal and compliance issues including: Risk management for the Branch in regards to monitoring sales, human resources, and legal and regulatory practices.
Managing, overseeing clients and generating new business.
Bachelor’s degree or equivalent professional experience;
FINRA licenses: 7, 24, and 63 required;
Candidate’s background should demonstrate integrity, a strong work ethic, and good judgment.
Tri state applicants only need apply