- Lead and develop a team of registered principals who review and approve brokerage, advisory, mutual fund, and variable product applications
- Oversee new account application reviews for completeness, accuracy, appropriateness, and compliance
- Provide oversight of escalated, complex, or higher‑risk account‑opening decisions
- Ensure consistent application of suitability, supervisory, KYC/AML, and account‑eligibility requirements
- Maintain review standards, procedures, escalation protocols, approval criteria, supervisory controls, and documentation
- Partner with Operations, Compliance, Legal, and Risk to resolve account‑opening issues
- Promote AI adoption and continuous improvement
- Monitor application volumes, turnaround times, quality metrics, exceptions, and KPIs
- Conduct QA reviews to identify trends, deficiencies, training needs, and control weaknesses
- Serve as escalation point for complex customer, account, product, ownership, restriction, or suitability matters
- Lead training for registered principals and account‑opening personnel
- Support regulatory exams, internal audits, compliance testing, and management reporting
- Stay current on relevant securities regulations, FINRA rules, firm policies, and industry practices
Requirements
- 5-7 years of supervisory experience in broker‑dealer or compliance function
- FINRA Series 24 registration required
- Strong knowledge of suitability, supervisory practices, and FINRA/SEC requirements
- Ability to interpret regulations and firm policies for account‑review decisions
- Strong written and verbal communication skills
- Experience in broker‑dealer, RIA, bank‑affiliated brokerage, or regulated financial services
- Experience with account‑opening and suitability systems
- Experience supporting regulatory exams or audits
Core Competencies
Demonstrates expertise in supervising account application reviews, ensuring compliance with FINRA and SEC regulations, and leading training initiatives for registered principals. Proficient in monitoring quality metrics and collaborating with cross‑functional teams to resolve complex account‑opening issues.
Highest-signal resume keywords
- Supervisory Experience
- FINRA Series 24 Registration
- Knowledge of Suitability Practices
- Account-Opening Systems Experience
- Regulatory Exam Support
Hard Skills
- Account Review
- Compliance Oversight
- KYC/AML Requirements
- Quality Assurance
- Regulatory Interpretation
- Escalation Protocols
- Training Development
- Documentation Standards
- Risk Management
- Metrics Monitoring
Soft Skills
- Strong Communication Skills
- Leadership
- Problem‑Solving
- Collaboration
- Training Skills
Certifications & Qualifications
- FINRA Series 24
Industry Keywords
- Broker-Dealer
- Regulated Financial Services
- Securities Regulations
- FINRA Rules
- Internal Audits
- Compliance Testing
- Mutual Fund Applications
- Advisory Applications
- Variable Product Applications
- Account Eligibility
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Operations Manager – Suitability Arbeitgeber: Jobtailor
Als Front Office Supervisor in unserem dynamischen Team bieten wir Ihnen die Möglichkeit, in einem unterstützenden und freundlichen Arbeitsumfeld zu wachsen. Wir legen großen Wert auf die berufliche Entwicklung unserer Mitarbeiter und bieten regelmäßige Schulungen sowie die Chance, Verantwortung zu übernehmen. Unsere Lage ermöglicht es Ihnen, Teil einer lebendigen Gemeinschaft zu sein, während Sie gleichzeitig die Standards unseres Franchise-Partners einhalten und unseren Gästen einen unvergesslichen Aufenthalt bieten.
