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Acting Principal - OSJ

Company: AccountingTax.com
Location: Fort Lauderdale
Posted on: September 12, 2020

Job Description:

Position DescriptionThis position will serve as the Office of Supervisory Jurisdiction (OSJ) Branch Supervisor. The OSJ Supervisor will work closely with the registered representatives on all matters on investment and advisory activity, including sales practices, documentation, and member issues. The responsibilities of this position include principal review of new account applications, compliance required forms, representative transactions, and all correspondence to and from representatives. Additional responsibilities include assisting with the administration of the firm's audit program.Some key things our leaders understand:One of our core values is radical transparency.-- We will say exactly what we are thinking and expect you to do the same.We expect you to take it in as constructive feedback, not personalNo such thing as "it's not my job"--Need to be bought into our mission to push through the difficult parts of the positionKnow that we work a lot of hours, and expect you to do the same, especially during crucial ramp-up periods.Responsible to proactively help develop the department and bring up where you see opportunities in other departmentsYou need to be able to jump in and get your hands dirty. And be willing to analyze at the detailed and high level to determine what is the big domino that if we fix it, it will knock down a majority of the issue.--How You'll ContributePrincipal review of new account documentation including Advisory AgreementsReview compliance required formsReview representative transactionsReview incoming and outgoing representative correspondenceAssist with firm auditsAssist with branch auditsAssist with Administration of firm element trainingReview inbound/outbound email activityReview social media and business networking sitesMonitor Ongoing Advisory ReviewsMonitor Representative Outside Business ActivityReview Trade BlottersReview monthly compliance reports for accuracyAssist in monthly training/facilitation of staff meetingsAssist in reviewing various surveillance reportsWhat You'll BringBachelor's degree or equivalent experience----Minimum of 5 years of principal review and branch supervision.--Requires FINRA Series 7, 24, 4, 53 (or 9/10) as well as 63, and 65 or 66.--Minimum 5 years with the Supervisory and Principal licenses (Series 24, 53, 4, 9/10)--Experience as registered principal overseeing trade review and branch supervision of series 7 and 66 representativesAbility to develop compliance systems and strategies for effective supervisionAbility to multitask, strong attention to detail, excellent problem-solving and follow-up skills--Comfortable operating under tight deadlines--Excellent oral and written communication skillsExcellent troubleshooting skillsDemonstrated knowledge managing challenging client interfaces, navigating situations to resolution and providing exceptional client serviceStrong communication skills and the ability to articulate complex concepts--Regulatory and supervisory-based decision skillsAbility to quickly grasp complicated situationsAbility to build effective relationshipsWhat You'll Love About UsCompetitive SalaryGenerous PTO PackageCompany Equity8 Company Holidays100% Paid Medical BenefitsPaid Life InsuranceAwesome Co-Workers!--Who We AreOur mission is to transform how accounting and tax professionals build, grow, and optimize their firms to increase revenue and improve efficiency while providing the highest value to their clients.We will help them by providing the best result-focused training, accountability, and technology possible - through the three pillars of knowledge, speed, and accuracy. We will know we are successful when a total life, business, and financial transformation has occurred in one of our customers.You're helping us set a new standard of excellence and delivery in the accounting industry - every single thing you do on our team brings us closer to that goal. We believe that work needs to be fun, challenging, and something that makes you so excited that you jump out of bed each morning. Our company culture builds connections, careers, and employee growth. How? By creating a workplace that values flexibility, freedom, autonomy, and transparency. If that sounds like something you'd like to be part of, we'd love to hear from you!

Keywords: AccountingTax.com, Fort Lauderdale , Acting Principal - OSJ, Accounting, Auditing , Fort Lauderdale, Florida

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