Sales Supervisor. Urbandale Move Collective

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. 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 Urbandale, IA:

• 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 representatives outside brokerage accounts
• Assist the CCO with the resolution of disputes, regulatory audits, and customer complaints
• Work with the COO 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

• 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

• College degree preferred
• Series 7, 24, 63 65 or 66
• Life Insurance License preferred
• Operational Experience preferred

Integrity, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.