Sales Supervisor
Primary Responsibilities
- Supervise the review of new accounts and trades
- Monitor and review written and electronic correspondence
- Ensure compliance with policies and procedures and relevant regulations
- Aid in Investment Advisory Compliance
- Create and deliver BD training materials
- Conduct training sessions for financial professionals
- Oversee home-office compliance with relevant BD regulations
- Review and monitor trading activity from outside brokerage accounts
- Support the CCO in dispute resolution, regulatory audits, and customer complaints
- Collaborate with the COO on strategic planning
- Stay informed about regulatory changes and update manuals and policies
Desired Skills and Experience
- Over 2 years’ experience in FINRA and SEC regulated Broker-Dealer/RIA space with relevant licenses
- Thorough knowledge of Alternative Investments
- Commitment to creating a professional environment emphasizing accountability and teamwork
- Excellent interpersonal communication skills, both written and verbal
- Strong organizational skills with the ability to prioritize activities
- A strong client focus and a desire to build relationships
- Strong technical skills in MS Office software suite
- Ability to handle multiple tasks and responsibilities independently
- Initiative and a proven work ethic with high integrity
- Excitement about joining an experienced team and contributing to company growth
- Possession of Series 7, 24, 63, 65, or 66 licenses
- Preferred experience with Pershing, LLC
About the Firm
We are Integrity, one of the nation's leading independent distributors of life, health, and wealth insurance products. Our mission is to help people protect their life, health, and wealth so they can prepare for the future. We offer a supportive work environment and a competitive compensation package, including benefits designed to enhance your quality of life.
Headquartered in Dallas, Texas, Integrity supports hundreds of thousands of independent agents across the country. We are committed to providing excellent service and fostering a positive work culture. If you're looking for a fulfilling career in a fast-growing company, Integrity could be the right fit for you.
At Integrity, we believe in equal opportunity and are proud to be an Equal Opportunity Employer. We welcome applications from all qualified individuals regardless of race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law.