What are the responsibilities and job description for the Advisor Services and Supervisory Support position at MassMutual Eastern Pennsylvania?
At MassMutual Eastern PA, we believe our success is rooted in the development of ethical and committed support staff. Our Horsham, PA location is seeking an experienced professional in Broker-Dealer and RIA advisor services and operations to join our dynamic team. The position is multifaceted which includes supporting the supervisory team and collaborating with our registered representatives, advisors, agents, and their staff to help ensure business is conducted correctly and in compliance with the regulations that apply to our business.
Key Responsibilities
Compensation: $70,000 - $80,000 yearly
Key Responsibilities
- Manage inquiries from advisors and staff regarding new account openings, subsequent business, servicing of existing accounts, and related requests.
- Assist producers and/or assistants in promptly resolving “Not in Good Order” submissions. Becoming a subject matter expert in investment business processing.
- Assign, track, and follow up on required training courses to agents, registered representatives, and associated persons.
- Review, process, approve, and log incoming checks and securities.
- Coordinate and disseminate communications to agents, registered representatives, and associated persons.
- Coordinate training events for the supervisory team.
- A credible and respected guide to our advisors, with excellent coaching skills.
- A process-oriented mindset, curious and interested in staying attuned to updates and changes locally and in our highly regulated industry.An open and honest communicator, able to convey critical information in a constructive way.
- Excellent written communication skills.
- Ability to work under pressure while maintaining a positive attitude in stressful situations.
- Someone that is resourceful, takes satisfaction in problem-solving, and is highly analytical with strong attention to detail.
- 3 to 5 years in the securities industry.
- BA or BS degree or equivalent experience.
- FINRA Series 7 and 24 licenses must be attained within 3 to 6 months of employment. Industry operational and regulatory knowledge regarding general securities, mutual funds, and variable and fixed annuities. Working in a field office along with the understanding of a clearing firm relationship is a plus.
Compensation: $70,000 - $80,000 yearly
Salary : $70,000 - $80,000
