RSM Administrative Coordinator

This position will assist the Regional Investment Manager

primarily from a regulatory perspective such as monitoring business trades versus administrative duties. 

Review and approval of new accounts and trades for approximately 25-35 Financial Consultants within a region. Review for suitability of

transaction, question consultants on decisions, and take corrective action when appropriate. Add insight into why Financial Consultant

recommended transaction/product..

Performs administrative duties to support Regional Sales Management, including administrative reporting, systems and facilities

coordination, as well as assistance in driving sales revenues by ensuring sales efforts conform with regulatory and firm requirements.

Review regional branch operating/compliance practices, document results, and develop recommendations of corrective action for both

branches and specific consultants. Implement plan and ensure follow through, which will include training and organizing branches. On an

ongoing basis tracks and ensures staff members complete required regulatory and compliance training, and that staff members are

properly licensed for what they sell.

Investigate and respond to escalated customer issues, regarding compliance regulations, sales practices, investment advice and

operation processes.

Stay abreast of all federal and state securities laws and SRO regulations by working with Compliance department. Notifies compliance

staff on complaints and/or responds to information requests. Develops and conducts Compliance Improvement Plan meetings with the

consultants throughout region.

 

Requirements:

Bachelor in Business Administration or Finance.

NASD Series 7 and 66 or (63 & 65) licenses

Also NASD Series 8 or (9 & 10) or (4 & 10) or (4, 53 & 12) licenses.

Five to seven years within Brokerage industry, to include knowledge of compliance regulations, investment market, securities products,

sales process and brokerage operations. Customer service experience and leadership ability are essential.

Organizational skills and ability to work independently with minimal supervision is required. Excellent interpersonal skills required to work

effectively with FCs, Compliance, Clients, and RSM. Ability to work with automated computer systems is also required. Travel required

30-40%.