Relationship Manager & Supervision

Top Tier Broker-Dealer/ RIA is seeking a Sales Supervisory Relationship Manager to join their team!

Responsibilities

Provide insight by building meaningful relationships with financial professionals

Provide and approve investment transactions

Resolve escalated issues

Manage relationship between financial professionals, the Broker-Dealer and RIA Home Office

Recognize opportunities to optimize and improve Financial Professional’s day to day business.

Qualifications

Past experience working for a Securities Broker Dealer and/or Registered Investment Adviser

Series 7, 24 (or 9/10), and Series 65 or 66

Candidates must possess an ability to interpret and apply FINRA and SEC regulation and recommend firm best practices to Financial Professionals and their staff

Strong communication and relationship building experience

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