FINRA Licensed Team Lead (Hybrid)

Location: McKinley West, Taguig

Benefits: Free parking (first come, first served)

Work Set-up: Hybrid work set up - 3x/week onsite

Required Qualifications: 

• FINRA Series 7 and Series 24 are required; Series 66 is an advantage.
• Bachelor's degree or equivalent work experience, 
• 8 years of work experience, plus 2+ years related in financial services, securities operations, compliance, and or supervision
• Previous work experience in direct management and leadership roles
• Effective stakeholder management
• Excellent written and verbal communication skills
• Willingness and ability to work in night/rotational shifts.

Job Description:

• Manage the stakeholder expectation to support the operations of the company, comply with the FINRA and regulatory guidelines; apply knowledge of operations and broker-dealer supervision and FINRA regulations/procedures, and state & federal regulations to make appropriate, accurate, and timely decisions.
• Ensuring the Reporting in terms of team & individual training progress to superiors.
• Communicates strategy, company goals, and deadlines to the team. Motivate team members and assess performance.
• Communicates concerns and policies among management and team members.
• Responsible for effective stakeholder management, new migrations, customer satisfaction, operational risk management, and for building a culture of innovation and process simplification.
• Design, develop, coordinate, and conduct large or small-scale training programs required for individuals and teams.
• Review general transactions by associates in all products to ensure they are appropriate for the client and adhere to regulations.
• Responsible for reviewing new business, emails, processes, and financial plans, analyzing products, and communicating with the Advisor Network
• Managing the training & mentoring as per the business requirements.
• Act as a liaison between Compliance and various operations areas to ensure the smooth transition of business and to fulfill reporting requirements set forth by state and federal securities regulators. May assist Broker-Dealer operations and Compliance to research, respond to research, and settle formal customer complaints.
• Maintain comprehensive knowledge of all securities products and services offered by the company and the system capabilities of the company. Including a sound understanding of applicable rules and regulations. This includes a sound understanding of system capabilities.