Broker Dealer Supervisor

  • Competitive
  • New York, NY, États-Unis
  • CDI, Plein-temps
  • The Goodkind Group
  • 17 nov. 17 2017-11-17

A leading Asset Management Firm is seeking to add a Broker Dealer Supervisor to the NY office.

The role supports the President of their Broker Dealer and will work across various teams supervising the day-to-day activities of the broker dealer and its personnel.

Duties will include review of communications, approval of investor transactions, and other reportable activities, working closely with other members of management.  The role will report to the Managing Director and Global Head of Relationship Management and will work closely with team members in four major cities.


The ideal candidate will have:

•             Bachelor’s degree in a related field

•             Series 4, 7, 24, 53 and 63 (or 65 or 66) licenses required

Experience Required:

•             Minimum 5 years acting as a broker dealer supervisor

•             Strong knowledge of FINRA Rules

•             Ability to recognize red flags, and to identify trends and patterns that require further investigation

•             Problem solver with ability to research solutions

•             Resourceful with ability to mitigate issues and identify alternatives

•             Strong written and verbal communication skills; ability to communicate effectively with all levels of the organization and represent the Firm in a professional manner

•             Exceptional attention to detail, placing a high priority on accuracy and organization