Suitability Principal - Massachusetts Licensed
Company: VirtualVocations
Location: Jersey City
Posted on: May 18, 2024
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Job Description:
A company is looking for a Suitability Principal for Elite
Services.
Key Responsibilities:
Conduct back-office review and firm-acceptance of new and existing
submissions related to Brokerage, Direct and Third-Party Advisory
accounts
Review trading activity of registered representatives through
supervisory control procedures and application of firm policies and
procedures
Implement and manage operational and supervisory procedures for the
firm
Required Qualifications:
FINRA Series 7 & 24 required at time of application
1+ years MMLIS experience OR 2+ years financial services experience
within the brokerage/advisory space
High School Diploma or equivalent
3+ years' experience conducting suitability reviews
FINRA Series 4 and 53
Keywords: VirtualVocations, Hoboken , Suitability Principal - Massachusetts Licensed, Education / Teaching , Jersey City, New Jersey
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