The Branch Supervisor is responsible for providing oversight, operational and sales support for the branch personnel. The Branch Supervisor works to ensure the branch operates within our Policies & Procedures and that we provide an exceptional client experience.
Provides supervisory oversight to ensure that the branch is operating within Policies and Procedures and adhering to all other financial services regulatory requirements. Make recommendations for the further development and revision of policies and procedures based on the needs of our changing business environment, knowledge of regulatory requirements and a strong understanding of current policy and procedure. Work with sales staff in order to achieve satisfactory branch exam ratings and conducts regular compliance reviews and self-audit of branch procedures Review and approve KYC and Investment Suitability Branch sales and operations reviews Review and send incoming / outgoing emails New account / application CIP Restrictions and NIGO Partners with management and intervenes where appropriate to mitigate risk. Focuses on identifying opportunities to create efficiencies on issues affecting the branch operations Act as a dedicated resource for all oversight and operations support functions on a wide range of customer issues, directly supporting the Financial Consultants (FCs) team and assisting their customers with account questions, issues and escalations. A minimum of 5+ years experience in a Customer Service, Supervision, or Operations function in the Financial Services Industry. Familiarity with compliance and regulatory guidelines within the brokerage industries Proven ability to work in a fast-paced, high-profile multi-tasking environment. Must be detail-oriented with a strong aptitude for problem-solving, decision making and trouble shooting simple to complex issues with the ability to organize and prioritize work Must possess the ability to work autonomously Must have excellent written and verbal communication skills, organization and interpersonal skills. Excellent customer service and professionalism Must be proficient in MS Office programs, specifically MS Outlook, Word, Excel and Power Point Series 7, 63, 65 or 66 and 24 licenses required Please send resume and cover letter.