FINRA Licensed Sales Supervisor
Company: VirtualVocations
Location: Elgin
Posted on: April 16, 2025
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Job Description:
A company is looking for a Team Lead, Sales Supervision
Principal.
Key Responsibilities
Monitor and provide oversight of Sales Supervision Principals;
provide direction and training as needed
Conduct suitability reviews of new business and oversee account
reviews for clients' best interests
Assist with regulatory audits and investigate violations or policy
breaches
Required Qualifications
Bachelor's degree in finance or a business-related field, or
equivalent work experience
Seven years of securities industry experience, including
suitability and investment sales supervision
FINRA Series 6 or 7 and Series 63, 26, 65, or 66, 24
Thorough knowledge of securities products and relevant
regulations
Ability to analyze complex issues and recommend solutions
Keywords: VirtualVocations, Waukesha , FINRA Licensed Sales Supervisor, Sales , Elgin, Wisconsin
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