Location: Dallas, TX, USA
This role is part of a centralized group of supervising principals responsible for ensuring representative activities align to firm and regulatory expectations.
Key Responsibilities and Duties
- Review and accept on behalf of the firm recommendations made to clients and / or review written correspondence and electronic communications to / from associated persons of the broker-dealer.
- Proactively engage business partners across the organization to resolve or escalate issues.
- Develop and maintain strong working relationships within the team and the business line stakeholders.
Educational Requirements
University (Degree) Preferred
Work Experience
3+ Years Required; 5+ Years Preferred
FINRA Registrations
- SRC Indicator: Series 7; Series 24
- Licenses and Certifications
- Life and Health Insurance License (Resident State) - Multiple Issuers required
Physical Requirements
Physical Requirements: Sedentary Work
Career Level
7IC
Required Qualifications
FINRA Series 7
Additional Locations: Charlotte, NC, USA
Job description provided by TIAA.
View the original posting
