What are the responsibilities and job description for the Sales Supervisor Principal position at American Alternative Capital?
General Summary:
As the Sales Supervisor Principal of Securities, you’ll play a meaningful role in protecting the firm’s integrity, ensuring adherence to SEC, FINRA, and state regulations while developing outstanding supervisory processes, while shaping the future of risk management in a multifaceted, growth-focused environment.
Responsibilities and Duties:
- Lead the firm’s sales supervisory framework, ensuring compliance with internal policies and external
- regulations.
- Assess risks in trading, sales, and operations, implementing effective risk mitigation strategies.
- Coordinate internal and external audits, address findings, and improve supervisory controls.
- Continuously refine supervisory procedures and technologies to adapt to an evolving regulatory landscape.
- Identify and react to a vast variety of day‐to‐day issues that will affect the company in many ways, both
- compliantly and logistically, and create realistic plans to overcome them.
- Gather data and compile various reports for management.
- Assist in the development of internal company policies and see that they are respected.
- Work collaboratively with all firm departments and clientele to facilitate problem resolution.
- Answer general incoming calls on an as needed basis.
- Greet visitors with professionalism and courtesy.
- Various Projects, as needed.
Abilities Required:
- Must possess strong knowledge and understanding of SEC, FINRA and other regulatory frameworks
- governing BD activities, including knowledge of trading, sales, and compliance issues in the securities
- industry
- Requires the ability to make risk-based business decisions and then execute by providing clear and
- concise directions to employees and clientele
- Must possess a service‐oriented nature, excellent human relations skills and a solid work ethic with a
- positive attitude.
- Ability to work independently in a fast‐paced environment.
- Must be well organized, flexible and adaptable within a transformational firm.
- Must have strong attention to detail and be able to multitask and switch gears easily.
- Ability to prioritize tasks and goals, ensuring timeliness.
- Ability to communicate well verbally and in writing.
- Must be able to make decisions and recommendations to benefit the firm.
- Financial industry experience and/or experience with financial products/services
- Proficient in computer programs, such as word processing and spreadsheet software programs
Minimum Licensing and Requirements: FINRA Series 7, 66 and 24 registration required
Position: Full time. Remote or Ann Arbor, MI based.
This Job Description is not a complete statement of all duties and responsibilities comprising the position. Job descriptions are not intended and do not create employment contracts. The organization maintains its status as an at-will employer. Employees can be terminated for any reason not prohibited by law.
