Sales Supervisor
Integrity Marketing Group LLC(2 months ago)
About this role
A Broker-Dealer Sales Supervision professional based in Austin, Texas who supervises broker-dealer activities and serves as the home office point-of-contact for branch offices. The role sits on a cross-functional compliance team at a financial services distribution firm and supports development of the firm’s compliance and supervision model.
Required Skills
- Broker-Dealer Compliance
- Trade Supervision
- Correspondence Review
- Policy Monitoring
- Investment Advisory
- Training Development
- Marketing Review
- Trading Monitoring
- Dispute Resolution
- Regulatory Knowledge
+6 more
Qualifications
- College Degree (Preferred)
- Series 7
- Series 24
- Series 63
- Series 65/66
- Life Insurance License (Preferred)
About Integrity Marketing Group LLC
integrity.comIntegrity is a leader in providing holistic life, health and wealth planning and solutions designed to help Americans prepare for the good days ahead.
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