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This position is responsible for the daily operational oversight of the Investment Services Phone Queue and LFS Trade Desk. Candidate will execute transactions in accordance with SEC, FINRA, MSRB, OCC and broker/dealer rules and regulations. Position will be responsible for administering our clearing firm relationships as well as internal relationships...
This position is responsible for the daily operational oversight of the Investment Services Phone Queue and LFS Trade Desk. Candidate will execute transactions in accordance with SEC, FINRA, MSRB, OCC and broker/dealer rules and regulations. Position will be responsible for administering our clearing firm relationships as well as internal relationships with all departments within the broker/dealer
ESSENTIAL FUNCTIONS OF JOB:
-Performs oversight and leadership of staff and operations. Prioritizes individual workflow and directs team workflow. Monitor staff/representative interactions to ensure continuity in the application of Investment Services and Trade procedures.
-Support Trade/Service Representatives in day to day functions. Serves as informational resource for Investment Services and broker/dealer units.
Implements binding decisions which could potentially have a financial impact on the broker-dealer. Utilizes discretion to accomplish goals outside standard operating procedures.
-Provide field force with timely and accurate information related to all publicly traded securities, brokerage accounts, and broker/dealer products.
-Executes investment transactions in accordance with FINRA, SEC, MSRB, OCC and broker/dealer regulations and guidelines.
Acts in principal capacity in oversight of Trade Desk and asset movement functions.
-Administer relationships with all operational and administrative areas of clearing firms including but not limited to margin, money desk, corporate actions, account transfers, settlement, clearance, custody, trading, systems access, and retirement accounts. Develop and nurture relationships with account managers and key personnel.
-Collaborate with all departments of the broker/dealer in the service of our field force and the oversight of our accounts.
-Analyze industry changes and determine impact on operational procedures and regulatory monitoring/reporting. Perform audits to ensure adherence to SEC, FINRA, MSRB, OCC and broker/dealer rules and regulations.
-Mitigate risk by enforcing the policies and procedures as defined in the Compliance & Supervisory Procedures Manual.
-Invest in the development of the work force through ongoing education, training, and opportunities for continuing growth.
-Perform/launch special projects as assigned by management.
Monitors and reconciles firm operating accounts on a daily basis.
Participates/presents in unit and departmental meetings/training sessions. Participates/presents at broker/dealer development forums.
-Represents Investment Services in operational meetings at the request of other broker/dealer units.
-Other duties as assigned based on volume and/or business needs
QUALIFICATIONS (EDUCATION, EXPERIENCE, SPECIAL SKILLS):
-College degree or equivalent work experience.
-Must be customer focused and able to promote a service oriented environment.
-Must be able to communicate effectively with management and team members both verbally and in written communications.
-Must be able to handle difficult and complex situations with team members, other broker/dealer units, clearing firm, field force, and product sponsors.
-Must be able to work in a high volume, high stress environment.
-FINRA Series 7 and 24 license required.
-FINRA Series 53 and 4 licenses will be necessary to proceed to the next level; LFS will sponsor for future advancement
BUSINESS MEASURES AND ACCOUNTABILITY:
-Members of the Investment Services Phone Queue and/or Trade Desk report directly to the Team Leader.
-Assists management in the formulation and maintenance of operating policies and/or procedures for unit, department, and broker/dealer
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The Suitability Analyst will be part of a team that is responsible for principal review of all trading activity for the Lincoln Financial Securities (LFS) Broker-Dealer, evaluating client trade suitability and overall firm risk. Transaction review will be for all trades placed by LFS registered representatives and trades placed through external vender/par...
The Suitability Analyst will be part of a team that is responsible for principal review of all trading activity for the Lincoln Financial Securities (LFS) Broker-Dealer, evaluating client trade suitability and overall firm risk. Transaction review will be for all trades placed by LFS registered representatives and trades placed through external vender/partner relationships. The Analyst will be responsible for analyzing complex trade suitability, trade risk, legal, compliance, and regulatory issues while working to develop solutions that satisfy the needs of the customer and firm. They must continue to monitor an ever changing regulatory environment and be proactive in working with management to implement new procedures and policies. The position is also responsible for the oversight, detection and prevention of violations of LFS procedures and securities industry rules and regulations
-Identify product and sales practices that present higher liability to the firm
-Work with staff, OSJ Managers and Advisors to mitigate this risk
-Builds and maintains a broad knowledge base of the securities industry (regulatory, markets, products, processes, and operational methodologies) and on technology and system
-Facilitate the suitability review of all direct business and monitoring brokerage account trade activity (mutual fund, equity, fixed income, options, etc.); ensuring compliance with all internal procedures and applicable industry regulations
-Monitor & analyze exception reports
-Prepare presentations and written communications to staff and field
-Identify and implement process improvements
-Measure, track, analyze, and report statistical data
-Maximize existing reporting resources and develop additional resources, as regulatory and business needs require
-Prepare, maintain & update internal databases and reports using multiple resources
-Conduct special investigations and research
-Capable of building cross department relationships at all personnel levels to achieve results
SKILLS REQUIRED:
Bachelor Degree required
3+ years of securities operations and/or compliance experience
Ability to demonstrate sound judgment while resolving issues
In-depth knowledge of securities industry and products
Self-motivated and comfortable taking ownership of projects and tasks from beginning to end
Strong organization skills, attention to detail
Commitment to proper compliance documentation
Professional business presentation and demeanor
FINRA Series 7 & 24 required.
FINRA Series 53 required within 90 days of hire and Series 4 required within 9 months of hire.
Some travel may be required
FEATURED JOB Suitability Analyst posted 59 days ago on Jobster.com
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MOVIE EXTRAS - ACTORS - MODELS - REALITY TV!
NO EXPERIENCE is OK!
This is an opportunity for Full and Part Time work. Make up to $300/day standing or sitting behind the main actors in films, commercials and TV shows. You may be asked to ride a bicycle, play cards, drink coffee in a coffee shop, or simply talk to someone.
* Flexible hours
* Full or ...
MOVIE EXTRAS - ACTORS - MODELS - REALITY TV!
NO EXPERIENCE is OK!
This is an opportunity for Full and Part Time work. Make up to $300/day standing or sitting behind the main actors in films, commercials and TV shows. You may be asked to ride a bicycle, play cards, drink coffee in a coffee shop, or simply talk to someone
* Flexible hours
* Full or Part time
* No experience required
CALL TODAY FOR PROJECTS IN YOUR AREA:
1-800-508-0296
______________________..
If you are sick of your customer service, help desk, or marketing job or you have dreamed of a job in Television or Movies, let us help you to break away from your driver, restaurant or a clerical job and find an exciting opportunity as an extra!
TV shows and reality shows are constantly looking for new talent to play roles such as a receptionist, bartender, restaurant staff, hospital administrator and retail clerk. On shows like ER or NYPD Blue, where you see doctors, bartenders, nurses, engineers, clerks, police personnel or any workers in the backgrounds of the hospital or police station (they barely ever talk) are extras.
We are looking for people from all backgrounds, so even if you have no experience in the entertainment industry and have only worked as an administrative assistant, receptionist, office manager, secretary, designer, waiter/waitress, clerk, we'd love to hear from you!
CALL TODAY FOR PROJECTS IN YOUR AREA:
1-800-508-0296
______________________..
If you participate in sports, coaching, training, military, health care and fitness... Don't miss your chance to be a movie extra or get paid to promote sport events, fast food, drug stores, transportation or new products in retail, travel and military industries.
If you have also worked as a receptionist, medical assistant, truck driver, construction, data, accounting, sales representative, dental, electrician, lpn, maintenance, accountant, billing, executive, warehouse worker, call center we will find a potions on set for you!
Tons of successful people in entertainment are former painters, designers, editorial assistants, writers, designers, real estate agents, medical assistant, nurses, computer sales who have decided to take it to the next level and follow their dream! Before they were famous they were just like you and me working in marketing, clerical, editorial and manufacturing fields! Now they are on shows like 24, Bones, CSI, Desperate Housewives, Grey's Anatomy, Heroes, House, M.D., Lost, Prison Break, The Office and Ugly Betty.
CALL TODAY FOR PROJECTS IN YOUR AREA:
1-800-508-0296
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