Lewis James Professional
Wealth Central Supervision Specialist I
Lewis James Professional is a woman-owned staff augmentation, project consulting and direct hire search and placement firm. We are currently seeking a Wealth Central Supervision Specialist I for a direct hire opportunity with a financial services client.
- Thorough review of new accounts and adherence to RegBi regulations and oversight.
- Review and approval of money movement request and trade corrections.
- Partner with sales management to enforce firm and regulatory policies.
- Review and approve Financial Plans and correspondence for use with the public.
- Perform supervisory tasks delegated by Principal Managers including oversight of securities related activity of registered bank teammates.
- Bachelor’s degree in Finance and 2 years of Retail Brokerage experience in supervision or compliance is preferred.
- 3 years of experience in brokerage with an emphasis in compliance, operations or supervisory function.
- Strong written and oral communication skills and detailed oriented.
- Series 7, 66 or (63/65), 24 and Life, Health and Variable insurance license.
- Proficiency with Microsoft Office applications.
For immediate consideration, please click “Apply” and use Job Code BHJOB11837_3748. You may also send a copy of your resume to: email@example.com and enter only the following job code in the subject line: BHJOB11837_3748. Lewis James Professional is an Equal Opportunity Employer. M/F/D/V