Regional Management Trade Specialist

AIG Financial Advisors, Inc. (AIGFA) is one of the nation's largest broker-dealers with $42 billion in total account assets, 2,275 affiliated independent financial advisors and more than 500 OSJ managers. Headquartered in Phoenix, AIGFA supports fee-based financial advisors with one of the most robust technology platforms and largest advisory services teams in the industry. AIGFA's dedicated business development team addresses the unique market needs of affiliated financial advisors by providing customized business solutions that achieve long-term growth objectives. AIGFA is a registered broker-dealer and SEC registered investment adviser, member NASD and SIPC, and member company of American International Group, Inc.

SUMMARY:

Is delegated and performs the suitability review of all client transactions that are subject to pre-approval and the suitability review of all 3040 business.  Helps coordinate efforts between the Regional Vice President (RVP), the Regional Manager (RM), the Regional Manager Associate (RMA), and Compliance to ensure business is processed in accordance with the firm?s policies and procedures to protect the client, the FLS, and the firm.

ESSENTIAL DUTIES AND RESPONSIBILITIES include the following but are not limited to: Maintains an ongoing positive relationship with all FLSs in collaboration with the RVPs, RMs, and RMAs. Monitors, reports, and enforces internal controls to ensure compliance with industry standards and the firm?s policies and procedures. Ensures proper business and sales practices are followed by the daily review of representative?s client transactions that are subject to pre-approval and all 3040 business.

ADDITIONAL DUTIES AND RESPONSIBILITIES may include the following but are not limited to:Is delegated and performs the suitability review of all security client transactions assigned to representatives where the RMD is acting as the First Line Supervisor (FLS)Monitors, reports, and enforces internal controls to ensure compliance with industry standards and the firm?s policies and procedures. Identifies suspicious patterns of practice.  Conducts investigation based on findings deemed outside or in violation of the department?s current guidelines and takes appropriate corrective action as needed in collaboration with the RVP, RM, RMA and Compliance.Monitors and reviews duplicate statements for brokerage accounts established for representatives outside of the firm?s own clearing firm where RMD is acting as the FLS.

QUALIFICATIONS To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

EDUCATION and/or EXPERIENCE Bachelor's degree (B. A.) from four-year college or university in a related subject to our industry; or at least two years related experience and/or training; or equivalent combination of education and experience.

OTHER SKILLS & ABILITIES Proficient with Windows and MS applications such as Word, Excel and Outlook. Understanding of AS400, V2020, and Pershing System.

CERTIFICATES, LICENSES, REGISTRATIONS Series 7, 24, 63 and state insurance licenses required. Must be able to obtain required license(s) within 90 days of hire if candidate doesn?t already hold them. Series 66 and 53 must be obtained within 12 months. 

Relocation is not provided for this position.