Essential Duties and Responsibilities

• Executes the plan of supervision for transitioning financial advisors and other staff to Raymond James including continuous monitoring of conflicts of interest, and outside activities.
• Proactively ensures compliance with applicable industry rules (State, FINRA & SEC) and platform policies and procedures as they apply to transitioning financial advisors and other staff.
• Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may arise and works together with them to address these concerns as well asto resolve any conflicts that may arise.
• Monitors and keeps up to date with securities/advisory regulations and applies them accordingly.
• Interprets, applies and recommends changes to organizational policies and procedures.
• May consult independently with staff and recommend actions to ensure compliance with existing rulesand regulations as well as prevent potential liability.
• Uses financial data and performance indicators to propose and/or assist with establishing control mechanisms and other improvement initiatives. Identifies trends and assists with implementing corrective action as necessary.
• Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently.
• Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.
• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and inwriting, with all organizational levels.
• Work effectively with Financial Advisors as their sales supervisor and enforce company policies and procedures as necessary.
• Establish and communicate clear directions and priorities.
• Provide a high level of customer service.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

• Company’s working structure, policies, mission, and strategies.
• General office practices, procedures, and methods.
• Concepts, practices and procedures of securities industry and/or banking compliance, includingsuitability and other compliance issues involved with retail activity.
• Principles of banking, finance, and securities industry operations.
• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry RegulatoryAuthority (FINRA); and state securities regulatory agencies; and/or Federal Deposit InsuranceCorporation (FDIC) sufficient to perform the functions of this job.
• Operating standard office equipment and using required software applications to reports, electroniccommunication, spreadsheets, and databases (E.g., Microsoft Office).
• Detail orientation to ensure firm adherence to policy & procedures.
• Utilizing business-appropriate phone skills.
• Bachelor’s degree (B.A) in a related discipline and a minimum of two (2) years of experience in supervision, sales management, operations, or compliance.
• Any equivalent combination of experience, education, and/or training approved by Human Resources.
• FINRA Series 7 required, 9/10 or 24 -Series 66 or 65 & 63 (ability to obtain within designated timeframe)

This is the pay range that Magnit reasonably expects to pay for this position: $25.86/hour - $34.48/hour

Benefits: Medical, Dental, Vision, 401K