Skip to content
AltsWire
Click Here to Subscribe to Our Free Daily News Updates

Sales Supervisor Principal

Job Title: Sales Supervisor Principal

Job Location: Hybrid – Ann Arbor, MI

Job Description:

General Summary:

As the Sales Supervisor Principal of Securities, you’ll play a meaningful role in protecting the firm’s integrity, ensuring adherence to SEC, FINRA, and state regulations while developing outstanding supervisory processes, while shaping the future of risk management in a multifaceted, growth-focused environment.

Responsibilities and Duties:

  • Lead the firm’s sales supervisory framework, ensuring compliance with internal policies and external regulations.
  • Assess risks in trading, sales, and operations, implementing effective risk mitigation strategies.
  • Coordinate internal and external audits, address findings, and improve supervisory controls.
  • Continuously refine supervisory procedures and technologies to adapt to an evolving regulatory landscape.
  • Identify and react to a vast variety of day‐to‐day issues that will affect the company in many ways, both compliantly and logistically, and create realistic plans to overcome them.
  • Gather data and compile various reports for management.
  • Assist in the development of internal company policies and see that they are respected.
  • Work collaboratively with all firm departments and clientele to facilitate problem resolution.
  • Answer general incoming calls on an as needed basis.
  • Greet visitors with professionalism and courtesy.
  • Various Projects, as needed.

 Abilities Required:

  • Must possess strong knowledge and understanding of SEC, FINRA and other regulatory frameworks governing BD activities, including knowledge of trading, sales, and compliance issues in the securities industry
  • Requires the ability to make risk-based business decisions and then execute by providing clear and concise directions to employees and clientele
  • Must possess a service‐oriented nature, excellent human relations skills and a solid work ethic with a positive attitude.
  • Ability to work independently in a fast‐paced environment.
  • Must be well organized, flexible and adaptable within a transformational firm.
  • Must have strong attention to detail and be able to multitask and switch gears easily.
  • Ability to prioritize tasks and goals, ensuring timeliness.
  • Ability to communicate well verbally and in writing.
  • Must be able to make decisions and recommendations to benefit the firm.
  • Financial industry experience and/or experience with financial products/services
  • Proficient in computer programs, such as word processing and spreadsheet software programs

Licensing and Requirements: FINRA Series 7, 63 and 24 registration required

Position: Full time.  Remote or Ann Arbor, MI based.

This Job Description is not a complete statement of all duties and responsibilities comprising the position. Job descriptions are not intended and do not create employment contracts. The organization maintains its status as an at-will employer. Employees can be terminated for any reason not prohibited by law.