Sales Supervisor

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, Texas.

Founded in 2010, Lion Street is managed by a team of experienced industry veterans and is a portfolio company of Austin Ventures.

Job Summary

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.

Primary Responsibilities:

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

Primary

Skills & Requirements:

2 years’ experience in the FINRA and SEC regulated Broker-Dealer/RIA space with the requisite licenses.

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

Series 7, 24, 63 are required

Life Insurance License preferred

Operational Experience preferred

About Integrity

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 life, health and wealth so they can prepare for the good days ahead.

Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first! At Integrity, you can start a new career path at company you’ll love, and we’ll love you back. We’re proud of the work we do and the culture we’ve built, where we celebrate your hard work and support you daily.

Joining us means being part of a hyper-growth company with tons…