Experienced Designated Supervisor-Atlanta, Georgia

Location
Atlanta, Georgia
Salary
Compensation commensurate to experience
Posted
January 18 2017
Industry
Securities

IFS is a 20 year old, national,  full-service brokerage and investment banking firm based in Atlanta, GA.  For its advisor partners IFS has two platforms, an independent advisor network that caters to retail advisors and their clients and in select geographic locations IFS has W2 capital markets division for institutional and corporate clients.  Our advisors enjoy the entrepreneurial spirit along with personal attention, unique investment insights and the resources to meet and exceed client and advisor needs.

Job Description

The primary responsibility of this position is to serve as the Designated Supervisor and to supervise the sales activities of IFS Securities (IFS) Financial Advisor’s assigned to Designated Supervisor. Other responsibilities include communicating regularly with advisors regarding compliance regulations and serving as an expert resource on compliance questions and issues.  Duties include but are not limited to:

  • Supervise the sales activities of assigned advisors including, but not limited to, the review of new business, correspondence, and email
  • Review exception reports and various other reports for suitability
  • Investigate questionable transactions and take corrective actions which
  • Answer compliance questions from advisors and their office staff
  • Monitor and review procedures and practices of advisors to ensure compliance with applicable regulatory requirement, industry sales practices and adherence to firm policies
  • Coordinate with Business Development during on-boarding, orientation phase
  • Collaborate with IFS Operations, Trade Operations, and Compliance areas
  • Participation in regular interdepartmental meetings and/or special projects seeking to improve policies, procedures, controls and our advisors experience related to IFS

The Successful Applicant

  • 3+ years of financial services supervisory experience preferably in-house, with broad knowledge of the independent space as well as regional and wirehouse platforms
  • FINRA Series 7, 63, 65/66, 24 (or NYSE 9/10) required (Series 4 and 53 helpful)
  • Broad knowledge of the advisory (RIA) business, insurance business as well as fixed income and general securities
  • Exceptional communication skills (verbal and written) and attention to detail
  • Minimum three years of experience, preferably in compliance or supervision; or equivalent financial services industry related experience
  • Bachelor degree or comparable financial services industry related experience

Offer: 

  • Compensation commensurate to experience
  • Excellent benefits package for qualified employees

Apply for this job forward resumes to:

 

Bradley A. Fay

Executive Vice President

Chief Business Development Officer

IFS Securities <LINK>

813-498-2162 Voice/813-902-7447 Fax

brad.fay@ifssecurities.com

Member FINRA.MSRB.SIPC EOE