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Registered Principal - Sales Supervision - NC or SC locations
Columbia, SC
Job Description
Overview
Responsibilities
Qualifications
First Citizens Bank is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race (including traits historically associated with race, such as hair texture and protective hairstyles), color, religion, national origin, sex, age, disability, protected veteran status, sexual orientation, gender identity, genetic information, military membership, application, or obligation, or any other legally protected status.
This position reviews client accounts to ensure appropriate information and documentation is present for principal approval. Examines new account documentation and sources any missing information. Evaluates securities and insurance transactions, exception reports, and flagged transactions based on suitability information provided by the client. Investigates and resolves securities or trade exceptions. Supports field associates and management by ensuring the accuracy, completeness, and suitability of provided client information.
Responsibilities
- Review - Responsible for principal approval review for securities and insurance transactions, exception reports, flagged transactions, and client accounts. Ensures all required information and documentation is present for principal approval requirements.
- Investigation - Researches any discrepancies in client-provided information and documentation. Investigates and takes corrective action on system-generated trade exceptions. Resolves or escalates any unsuitable securities transactions.
- Business Support - Addresses inquiries or requests from sales managers and field associates. Provides timely solutions for securities transaction problems that comply with all applicable regulations. Maintains a department-wide system that ensures consistent monitoring of document or information requests.
- Business Proficiency - Maintains a strong knowledge of Financial Industry Regulatory Authority requirements, U.S. Securities and Exchange Commission regulations, Bank policy, and other mandatory rules affecting securities and trade. Utilizes knowledge to provide guidance and identify discrepancies during principal approval reviews.
Qualifications
- Bachelor's Degree and 6 years of experience in Brokerage OR High School Diploma or GED and 10 years of experience in Brokerage
- License or Certification Type: Possess valid Series 7, 24, 53, 63 & 65 or 66, and state-specific life and health insurance licenses Required, Possess valid Series 4 license Preferred
- Skill(s): Knowledge of offered products, riders, and client suitability
First Citizens Bank is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race (including traits historically associated with race, such as hair texture and protective hairstyles), color, religion, national origin, sex, age, disability, protected veteran status, sexual orientation, gender identity, genetic information, military membership, application, or obligation, or any other legally protected status.
Job Summary
Company
Start Date
As soon as possible
Employment Term and Type
Regular, Full Time
Required Education
High School or Equivalent
Required Experience
6+ years
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