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:
1123-242

Job Type:
Permanent

Title:
Sales Practice Supervisor (1123-242)

Location:
Detroit, MI Area

Description:
The Sales Practices Supervisor is responsible for assuring all registered
representatives, investment advisory representatives and administrative
staff under their supervision follow all the federal, state, FINRA rules and
regulations as well as firms policies and procedures. Also, provide support
and assistance to compliance department as needed.

RESPONSIBILITIES:
Review and approve incoming securities business including alternative
investments based upon the suitability of client’s profile, federal, state
and FINRA rules and regulation as well as Concorde Investment Services
guidelines and polices
Review and follow up monthly and quarterly Representative affirmation
disclosures
Review blotters regularly and follow‐up when necessary
Implement, run surveillance system including ad hoc investigations of
trading rule‐based activities
Review and follow‐up on exception and trending reports
Review Representative correspondence and emails, identify, address, document
and escalate when appropriate
Review branch inspection reports, conduct meetings with Representative to
discuss preliminary finds, obtain final response to inspections and
implement procedural changes to ensure that identified deficiencies are not
repeated
Assist in monitoring Representative activities in accordance of firm’s
Written Supervisory Procedures
Assist in monitoring and implementing supervision controls of branch
operations consistent with regulatory and firm requirements
Test, assess and confirm policies/procedures, where needed
Identify operational and compliance risks and recommend improvements
Refer to and provide input, as necessary, to the Compliance department on
any regulatory. violations, sales practice improprieties, or actual or
potential violations of Firm policies and/or regulatory requirements
Stay up to date with the industry and regulatory changes

REQUIREMENTS:
Undergraduate Degree in Business, Accounting, Finance or related discipline
7+ years’ experience in insurance and/or securities industries
FINRA Series 7, Series 24, Series 63 and Series 65 or Series 66
Sound understanding and knowledge of compliance, suitability issues,
securities products including complex alternative products
Strong knowledge of FINRA, SEC and state rules and Regulations
Strong computer skills required, including solid ability using MS Outlook,
MS Word, and MS Excel as well as other internal systems
Excellent oral, written communication skills and pleasant attitude toward
clients
Ability to use strategic problem-solving skills to recommend improvements to
compliance systems and strategies for effective supervision
Ability to independently make regulatory and supervisory‐based decisions
Solid work ethic and proven professionalism

Category:
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Contact:
zach@bcius.com