Essential Duties and Responsibilities

• Conflicts of Interest: detect and prevent possible employee conflicts of interest including Outside Business Activities, Sponsorships, Gifts & Entertainment, and Cash/Non-Cash Compensation from product partners.
• Reviews requests for Outside Business Activities to ensure compliance with firm policy and regulatory rules.
• Interfaces with specific business platform management associates to inform them of any supervisory concerns that may arise with advisors or branch office managers and work together with them to address these concerns as well as to resolve any conflicts.
• Monitors and keeps up to date with applicable securities/advisory regulations.
• Interprets, applies and recommends changes to organizational policies and procedures.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
• Detail orientation to ensure the regulatory liability is limited, without impairing workflow.
• Utilizing business-appropriate phone and electronic communication manners.
• 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 in writing, 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..
• Bachelor’s degree (B.A) in a related discipline and a minimum of five (5) years of experience in Supervision and/or the financial services industry.
• An equivalent combination of experience, education, and/or training.
• Series 7 & 24 (or 9/10), and 66 (or 63 and 65) or the ability to obtain within an established timeframe.
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

This is the pay range that Magnit reasonably expects to pay for this position: $30.00/hour - $40.00/hour

Benefits: Medical, Dental, Vision, 401K