$59,300 - $90,000 yearly
The Resume Review - Recruiting Department
Brooklyn, OH, USA
Job description
ABOUT THE JOB: The Senior Associate–Central Supervision Principal reports to the Head of CSG and serves as the Designated Principal for a group of KIS registered representatives on behalf of the bank channel broker-dealer. The Central Supervision Principal is responsible for the principal supervision and surveillance of all bank brokerage, advisory and insurance sales activities. This includes, but is not limited to, new account opening, investment and insurance suitability review, financial planning oversight, customer complaint research and resolution, periodic reporting, audit responses, sales trend identification, reporting and oversight. Through collaboration with the KIS Sales Leaders, the Senior Associate-Central Supervision Principal acts as a virtual member of the territories he/she supports, actively communicating and participating in team events and meetings, and ensuring firm policies and...