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Randalls
, CO, United States
We are offering a $45,000 Sign-On Bonus plus Relocation Assistance. Apply to learn more! Are you the Pharmacist who knows your patients by name? Do they ask for you because you build meaningful relationships with them? Do you want to practice in a progressive setting where you can make an impact on patient care and be a part of your community? Are
Job Source: RandallsVertiv Co
Denver, CO, United States
The Environmental Health and Safety Specialist will be responsible for supporting, coordinating, implementing and/or conducting environmental, safety, and health activities. Assisting to ensure employees are trained in environmental, safety, and health policies and procedures. Facilitates a proactive safety program that actively involves employee
Job Source: Vertiv CoIntertek Group Plc
Westminster, CO, United States
Certified Welding Inspector Salary Range: $30-$40/hr PSI, an Intertek company, is searching for a Certified Welding Inspector with experience in commercial inspections to join our Building & Constructionteam in our Westminster, Colorado office. This is a fantastic opportunity to grow a versatile career in the architectural, engineering, and
Job Source: Intertek Group PlcUnion Depot
Denver, CO, United States
Position Summary Details ABM, a leading provider of integrated facility solutions, is looking for a Route/Mobile Building Engineer. The Route/Mobile Building Engineer supports the designated leadership with the daily operations of all building systems. This includes hard surface maintenance and repair, basic carpentry and metal work, operating,
Job Source: Union DepotRandalls
, CO, United States
We are offering a $75,000 Sign-On Bonus. OPT, H-1B (H1B) & TN sponsorship or visa transfers may be available for well qualified individuals. Apply to learn more! Are you the Pharmacist who knows your patients by name? Do they ask for you because you build meaningful relationships with them? Do you want to practice in a progressive setting where yo
Job Source: RandallsWSP Global Inc.
Denver, CO, United States
This Opportunity WSP USA is initiating a search for a BIM Lead Consultant out of our CO & TX Area Offices. The WSP BIM Lead Consultant is responsible for implementing and supervising drawing and modeling standards, managing drawing production, and performing non-routine and complex drafting and modeling assignments through the use of various soft
Job Source: WSP Global Inc.WSP Global Inc.
, CO, United States
This Opportunity WSP is currently initiating a search for a Lead Electrical Engineer for our Greenwood Village, CO office. Be involved in projects with our Property and Buildings Team and be a part of a growing organization that meets our clients' objectives and solves their challenges. Provides high level technical design and consulting fo
Job Source: WSP Global Inc.WSP Global Inc.
Denver, CO, United States
This Opportunity WSP is currently initiating a search for a Traffic Engineering Team Manager for our Denver, CO office. Be involved in projects with our Colorado Traffic Team and be a part of a growing organization that meets our client’s objectives and solves their challenges. Come lead our Colorado Traffic Team and solve some of the most cha
Job Source: WSP Global Inc.Denver, CO, United States
Cetera Advisor Networks LLC is seeking to expand its sales supervision team. The Supervision Specialist position offers a unique opportunity for a seasoned industry professional to apply their knowledge and experience while performing various business review functions in their capacity as a firm principal. This will require a self-motivated individual with strong critical thinking and communication skills, who has the ability to work within a fast-paced, time-sensitive environment. Further, this individual must possess a deep understanding of the industry and the related financial products and services. We are currently looking for a Supervision Specialist to add to our team in one of our office locations: El Segundo, CA; San Diego, CA; Denver, CO, Enfield, CT; Schaumburg, IL; Des Moines, IA; St Paul, MN; Atalanta, GA; St Cloud, MN; Boca Raton, FL.
What you will do:
The Supervision Specialist will focus primarily on principal review, business oversight, and other related tasks including but not limited to:
Report directly to the Supervision Team Manager
Perform principal review and supervision of securities transactions
Provide principal review and supervision of direct business transactions
Provide support and guidance to Financial Representatives and their staff as it relates to the business review and approval process
Communicate and respond to Financial Representatives regarding supervision issues, compliance, industry rules, firm policies, and procedures, etc.
Provide guidance and oversight to field OSJ Managers.
Work closely with other team members, departments, home office staff, and field personnel to promote the overall objectives of the Firm
What you need to have:
Bachelor’s degree
FINRA Series 7, Series 24, Series 63 license required. FINRA 65 or 66 and 53 is required within the first 6 months.
3+ years of relevant securities industry experience
2+ years of supervisory and/or sales experience within the brokerage industry
Strong working knowledge of industry products and services (stocks, bonds, mutual funds, UITs, ETFs, REITs, annuities, alternative investments, etc.)
Deep understanding of industry rules governing transactions and suitability
Excellent technology, communication, and relationship skills
The desire to be an enthusiastic and cooperative team player willing to contribute as necessary to promote the success of the department and the Firm as a whole
What is nice to have:
Additional FINRA licenses (i.e. 4, 65, 66 etc.) and/or insurance license
Other industry certifications
Prior experience with Pershing, Smarsh, Pinpoint, Albridge, Protegent, Docupace
Independent broker-dealer experience
Great customer service, communication, and relationship skills
Previous compliance, supervisory and/or sales experience within the industry
In-depth knowledge of financial products and services
Ability to effectively work and thrive in a fast-paced environment where prioritizing or multi-tasking may be required
Compensation:
The base annual salary range for this role is $70,000 to $85,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.
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Supervision Specialist El Segundo, CA, United States Posted on 03/21/2024 Be the First to Apply jobs in Denver, CO, United States
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