Sales Supervisor

Sales Supervisor page is loaded## Sales Supervisor locations:
Austin, TXtime type:
Full time posted on:
Posted Yesterday job requisition :
JR3521
** Job Description
** 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 poses 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 65/66
* 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 strive to provide a collaborative, creative environment where each person feels encouraged to contribute to our processes, decisions, planning and culture.
** Company Description
** Lion Street, Inc. is a privately held financial services distribution company based in Austin, Texas. Lion Street provides elite independent financial advisors, many of which have roots in the life insurance industry, access to the financial products, intellectual capital, and specialized resources they need to meet the sophisticated financial planning needs of their high-net-worth and corporate clients. The Broker-Dealer, Lion Street Financial, LLC and RIA, Lion Street Advisors, LLC are based in Austin,…