Advisor Services and Supervisory Support
Horsham, PA
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 :
- 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.
Ideal Candidate Attributes :
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.Experience Required :
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.Responsibilities
Assist advisors and staff with inquiries related to new account openings, servicing existing accounts, and other requests.Resolve "Not in Good Order" submissions promptly and support producers in investment business processing.Track and ensure completion of required training for agents and staff.Review, process, and log incoming checks and securities accurately.Coordinate and communicate important updates to agents and representatives.Organize training events for the supervisory team.Qualifications
Must have 3 to 5 years of experience in the securities industry, including at least 1 year in a supervisory role.A Bachelor’s degree (BA or BS) or equivalent experience in a relevant field is required.Mandatory possession of FINRA Series 7 and 24 licenses; candidates with industry experience will be considered if they can obtain these licenses within 3 to 6 months of starting the job.Strong knowledge of operational and regulatory aspects of general securities, mutual funds, and variable and fixed annuities is essential.Familiarity with working in a field office and understanding clearing firm relationships is a plus.Excellent written and verbal communication skills are a must.Strong analytical and problem-solving abilities are required.Attention to detail and a process-oriented mindset are crucial.Ability to work under pressure while maintaining a positive attitude is necessary.Must be a credible and respected guide to advisors, with effective coaching skills.An open and honest communicator, able to convey critical information constructively.Resourceful and curious, committed to staying updated on industry changes.Ready to Make an Impact? Contact us today to discuss how you can leverage your experience to extend our mission.
Compensation
70,000 - $80,000 yearly
What we can offer you!
Paid Training and LicensesHealth and Insurance BenefitsCompetitive compensationGrowth opportunities and much more.About MassMutual Eastern PA
At MassMutual of Eastern PA, our primary objective is to help people take hold of their finances. By designing strategies that fit their personal needs and style, we can help them attain their financial goals. As a full-service financial firm, we offer insurance and investment products and services for individuals and their families, busy executives, and professionals.
Salary : $70,000 - $80,000
