Title: Broker Dealer Registered Senior Associate (0495-005-111) Location: Indianapolis, IN Compensation: Commensurate with experience Summary: The Broker Dealer Registered Associate Senior is directly involved in securities processing and must maintain compliance with rules and regulations of regulatory agencies, including review for suitability. The incumbent is responsible for accurate and timely transaction processing and daily monitoring of broker-dealer account activity. Responsibilities: Review/approval of general securities/AUL variable annuity/ non-brokerage new business for regulatory suitability Review of transactions/blotters/reports/ledgers Provide general customer service/broker dealer related registered/ non-registered information / problem resolution as needed by our Agents/Representatives/internal business partners Research/resolve transaction and account processing related issues Provides brokerage/non-brokerage transaction support to internal/external customers Assist Broker Dealer with ongoing new business acquisition and retention goals by working closely with Marketing to ensure consistent /efficient transition/recruitment of business Requirements: Associates Degree Required in Business or Finance 3+ years of experience in securities trading within the financial services industry FINRA Series 7 and Series 24 licenses FINRA Series 4 and Series 53 strongly preferred The candidate must be able to prioritize tasks to meet deadlines and fluctuations in transaction volume, with a high degree of accuracy Must possess strong organization/analytical/communication skills/oral/written
Posted on: Tue, 23 Jul 2013 17:16:49 +0000
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