Registered Financial Service Office Manager

Registered Financial Service?Manager for a Wealth Management Firm

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Chesapeake Financial Shares is one of the oldest and most respected financial providers in the Northern Neck.? We have been a community financial institution for over a century and are dedicated to prudent financial management, and impeccable service.

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At Chesapeake Investment Group we understand our clients? needs and help them make appropriate financial decisions.? Our mission is supported by a commitment to wealth management, client servicing, and community involvement.

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We are looking for an Registered Financial Service Office?Manager for the Williamsburg Office who will assist the Managing Directors with administrative and sales support functions to minimize risk and assure efficient client-focused service.

As an Office Manager for this firm, your responsibilities will include:

* Supervising and coordinating Operations support staff work and assignments

* Evaluating workloads and problem areas within operations to determine potential reassignments and training

* Supervising and cross-training operations staff and sales assistants

* Assist in compliance training for support staff

* Ensuring branch procedures are in compliance with with regulatory agency rules and company policies

* Preparing and submitting required reports

* Completing self-audit of branch procedures

* Maintaining diligence over potential compliance and client problems, and reporting unusual or unethical situations to the Managing Directors

* Performing all duties delegated by the Managing Directors

Minimum Qualifications
- Series 7, 8 or 9/10 licenses required

- If you do not have the Series 8 (9/10) license, but you have had an active Series 7 license for over 3 years and you have been serving in a compliance role, we are interested in speaking with your primary focus will be on management, compliance and supervision.

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