What are the responsibilities and job description for the Operations Principal (Broker Dealer) – Wealth Management position at Questpro?
- Location: Des Moines, IA
- Remote: Remote
- Type: Questpro - Contingent
- Job #21138
Are you a detail-oriented Broker Dealer Operations professional with a knack for organization and a passion for helping Financial Advisors grow their business? Do you love to offer top level customer service and work with a fun and dynamic team in the Wealth Management Industry? If so, we would love to speak with you regarding an immediate job opening for an experienced B/D Operations Principal. Our client is expanding and has 2 openings for candidates who currently possess a FINRA 7 and 52 (required) and 2 years of experience in a similar role with a Broker Dealer.
As the Wealth Management Operations Principal you will work closely with Registered Reps to help them grow their business and maintain company policies in and around (back office) Operations, Compliance, Suitability and Best Interest practices.
Required Experience Includes
- FINRA 7 and 24
- 2 years of experience in a similar role at a Registered Broker Dealer
- Experience with Suitability reviews, Trade reviews, Escalations, Trade corrections
- Ops and Trading process training, webinars, in class training presentations
- Product and best interest training
- Research on Compliance and Regulatory changes
- Experience maintaining daily trade logs and blotters
- Working face to face with the Advisors to assist with anything related to their practice
If you meet the minimum qualifications and would like to be considered for this exciting opportunity, then please email your resume to Jason Keck at [email protected]
