Best Practices, Brokerage, Communication Skills, Customer Relationship Management (CRM), Financial Management, Financial Services, Problem Solving Skills, Registered Investment Advisor (RIA), Regulations, Relationship Management, Sales, Securities, Securities and Exchange Commission (SEC), Series 65, Series 7
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 Client and SEC regulation and recommend firm best practices to Financial Professionals and their staff
- Strong communication and relationship building experience
- Bachelors degree
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Social Capital Resources LLC