BCI - Brokerage Consultants Ltd.

Our Focus: Financial Services

We connect the right people with the right positions throughout the financial community.

  • Asset Management
  • Alternative Investments
  • Banking
  • Broker/Dealers
  • Commercial Lending
  • Consulting
  • Corporate Treasury
  • Family Offices
  • Financial Services Software Services
  • Insurance & Pension Funds
  • Municipal Finance
  • Private Equity
  • Real Estate Finance
  • Trading

Brokerage Consultants - Financial Recruiting

Tap our resources.

They run deep. Since our inception we've kept our focus trained exclusively on the financial industry, and we've built a vast network of contacts in the process. Let us put those resources to work for you. We'll connect you with the most current job openings at the most desirable companies in Chicago or nationwide.

Job Order:
899-5

Job Type:
Permanent

Title:
Principal Review Specialist, Officer - Investment Services (899-5)

Location:
Glendale, CA

Description:
SUMMARY/RESPONSIBILITIES:
Responsible for principal approvals of day to day broker dealer activities
Oversee approval of new account applications, securities and non-securities
trades as well as completing and reconciling trade corrections
Must be able to use sound judgment of basic suitability standards in
determinations and be able to manage risk effectively to adhere to firm's
policy and procedures
Must be able to adhere to regulatory standards set forth by FINRA, SEC, OCC,
California Dept. of Insurance and in-house Compliance Department

REQUIREMENTS:
Exceptionally strong organizational, communication and time management skills
Must be able to multi-task in a fast-paced environment with time-sensitive
responsibilities
Must be willing to interact with clients, registered representative and
coworkers accordingly to effectively manage and maintain compliance and
regulatory standards
Working knowledge of Microsoft Word and Excel, or previous experience with
similar software packages
Familiarity with National Financial back office systems such as FBSI &
Streetscape a plus
1-4 years of experience as a General Securities Principal within the brokerage
industry preferred
3-5 years? minimum experience in a broker/dealer organization
FINRA Series 7 license and Series 24 license or FINRA Series 8, or FINRA
Series 9 and 10 required
California Life Agent License is required or will need to be acquired
FINRA Series 53 and Series 4 licenses are a plus


Category:
Asset Management // Banking // Broker Dealer

Contact:
zach@bcius.com