Operations Supervisory Principal

Operations Supervisory Principal | Northwest Suburbs of Chicago

An independent broker-dealer and RIA, managing over $2 billion in assets with 200+ registered representatives, seeks an Operations Supervisory Principal. The ideal candidate will have experience with a variety of financial products and knowledge of different clearing and custody platforms.

Responsibilities include supporting advisors, branches, clearing firms, and custodians in daily operations, such as approving new accounts in a supervisory role, processing check requests and fed wires, and handling general inquiries and customer service. The role also involves assisting branch advisors with client inquiries, communications, and product support.

Ideal candidates will have a background in investment services, quick learning ability, strong initiative, exceptional customer service and critical thinking skills, and effective communication. The position requires multitasking effectively in a fast-paced environment.

Requirements:
3+ years of investment services/securities experience, preferably in client service, operations, or compliance
Series 7 required
Series 24, 53, 63/65, or 66 preferred, or willingness to obtain upon hire
Understanding of variable and fixed annuities, limited partnerships, REITS, mutual funds, options, fixed income, municipal bonds and all other securities products

Experience with RBC, Pershing, Charles Schwab, Asset Mark (Adhesion), or other Turnkey Asset Management Platforms (TAMPs) is a plus
Quick learner; exceptional customer service skills; critical thinker; self-driven; great written and verbal communication skills; able to work in fast paced environment; multi-tasker