Sales Supervisor

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** Sales Supervisor
** locations

Austin, TX    time type

Full time    posted on Posted 30+ Days Ago    job requisition idJR
1251    
** Integrity
* * is one of the nation’s leading independent distributors of life, health and wealth insurance products. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike.
** Integrity
* * is driven by a singular purpose: to help people protect their health and wealth so they can be ready for the good days ahead.

Headquartered in Dallas, Texas,
** Integrity
* * is committed to meeting Americans wherever they are — in person, over the phone or online.
** Integrity’s
** employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information, visit.

We are seeking a Broker-Dealer (BD) Sales Supervision professional responsible for supervising all BD related activities and serve as a home office point-of-contact for LSF Branch Offices. This is a ground floor opportunity with a dynamic firm with experienced leadership. This role will be multi & cross functional to join a team building a differentiated model in the Financial Services industry.

The following are the primary responsibilities for this role based in Austin, Texas:
* Responsible for the supervisory review of new accounts and trades
* Responsible for the review of written and electronic correspondence
* Monitor policies and procedures for compliance and relevant regulation and industry best practices
* Assist with Investment Advisory Compliance in accordance with SEC Rule 206(4)-7 of the Investment Advisers Act of 1940 and related guidance by the SEC
* Develop BD training and education materials for the financial professionals and conduct training for the same
* Review home-office compliance with relevant BD regulations
* Conduct marketing material reviews
* Monitor and review trading activity for LSF representatives outside brokerage accounts
* Assist the CCO with the resolution of disputes, regulatory audits, and customer complaints
* Work with the CCO and VP of Compliance and Supervision in strategic planning
* Keep abreast of regulatory changes and updates and assist with related manual and policy and procedure updates
* Other duties and projects as assigned
* Familiarity with Variable Annuity and Variable Life products
** Desired

Skills and Experience:

** The ideal candidate should possess over 2 years’ experience in the FINRA and SEC regulated Broker-Dealer/RIA space with the requisite licenses. The ideal candidate will possess the following qualities and skills:
* In depth knowledge of FINRA Notice to Members 10-22 regarding a Broker-Dealer’s responsibility to conduct Due Diligence on new products being offered by the Firm
* Thorough knowledge of Alternative Investments
* Committed to creating a professional environment that places a high value on, accountability, and teamwork
* Excellent interpersonal communication skills, both written and verbal
* Strong organizational skills with ability to prioritize activities
* Maintain a strong client focus and the desire to build relationships during each interaction
* Strong technical skills in the MS Office software suite (Word, Excel, PowerPoint, Outlook, etc.)
* Capable of handling multiple tasks and responsibilities
* Ability to work independently and take initiative while being part of a team
* Proven work ethic with a high level of integrity to build trust with our clients and colleagues
* Can get excited about joining an experienced team and contributing to the direction and growth of the company
* Experience with Pershing, LLC preferred
** Educational/Licensing  Requirements:
*** College degree preferred
* Series 7, 24, 63 are required
* Life Insurance License preferred
* Operational Experience preferred
** Benefits:
** In exchange for your hard work and dedication, we offer:
* Competitive compensation package
* Medical, dental, vision and life insurance
* Voluntary disability
* Paid time off
* 401K with company match

We work to maintain the best possible environment for our employees, where people can learn and grow with the company. We…