Branch Supervisor

A growing and successful boutique Broker Dealer located in beautiful Downtown Orlando is in search of a Branch Supervisor. This position offers amazing growth potential within this incredible company. Their work culture and family-like run business is ideal for all finance candidates! Specific responsibilities will include but are not limited to:

Support Compliance Department with ensuring the firm is in compliance with applicable industry laws, rule and regulations. The Senior Compliance Associate will report direct to the Chief Compliance Officer
Reviewing Annuity/Insurance applications to insure proper suitability
Working with products such as Mutual Funds, UIT’s, Equities, Bonds, Options, etc.
Reviewing IPO’s and Investment Banking Deals
Dealing with all complaints and inquiries from customers and regulatory authorities, including the preparation of complaint correspondence for the customers on behalf of the firm
Communicating directly with registered representatives, compliance/legal personnel and regulators to resolve complaints and regulatory inquires



Bachelor’s Degree in Finance
Compliance experience with professional financial service firm
Series 7 license
Strong interest in compliance work and the securities industry
Strong probative skills and analytical ability
Excellent communications and interpersonal skills. Excellent writing and editing skills
Must possess the ability to adapt to a changing business and regulatory environment
Ability to work effectively and supportively within a team environment and the ability to work independently

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Reference number US_EN_2_027647_137799