ESSENTIAL DUTIES AND RESPONSIBILITIES

Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time. 
1. Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval. Utilize multiple systems to ensure suitability and required documentation has been met. Focus on meeting all regulatory requirements pertaining to transaction review. Perform a holistic view of overall transaction and escalate complex matters to Team Lead and/or Divisional Sales Management.
2. Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy.
3. Implement and enforce internal compliance related procedures, training and identification of potential harmful trends, sales practice patterns, conflicts of interest or issue...