Designated Principal
Connecting clients to markets – and talent to opportunity. With 5,400+ employees and over 80,000 institutional, commercial, and payments clients, we operate from more than 80 offices across six continents. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets through innovation, human connection, and world-class products and services for all types of investors.
About the role
Broker dealer general principal manages the day-to-day activity and approval of new accounts, trading, advisory accounts, marketing materials, and more within the Institutional business segment. This segment offers best-in-class institutional-grade technology, exposure to various asset classes (equities, options, fixed income securities), and advanced trading, research, and management technology.
Responsibilities
- Approve new customer accounts, trades, and financial plans
- Review and approve advisory accounts
- Review and approve marketing materials, private securities transactions, gifts, political donations, outside business activities, and outside brokerage accounts
- Monitor and review email, social media, and other forms of electronic communication
- Additional duties as assigned by management
Requirements
- 2 years of experience in broker dealer supervision
- Email surveillance experience
- Experience with supervisory tools such as Global Relay, Excel, Prosurv, Comply, and Envestnet
- Good communication skills
- College degree or equivalent industry experience
- Series 7, 24, and 63 licenses
Work Environment
- In-office
- Minor travel requirements
Pay
Hiring salary range: $75,000 - $100,000. Final salary determined by education, experience, knowledge, skills, abilities, internal equity, and market alignment. Eligible to participate in an incentive compensation plan based on business performance and management recommendations.
Benefits
Full range of medical, financial, and/or other benefits offered, dependent on the position.