Suitability Review Associate

Job Description

Summary



The individual in this position will be responsible for reviewing the suitability and investment appropriateness of all firm trading and account activity. This will include activity executed through both the Broker/Dealer and the Investment Advisor.

 

Key Responsibilities



The incumbent will monitor trading and account activity as detailed in the firm’s written supervisory procedures to assist the firm in executing those procedures and in complying with regulatory rules and mandates.



This position is responsible for providing superior service to the Registered Representatives of Equity Services, Inc. (ESI) and their clients.



The services include, but are not limited to, account set-up and order processing for various investment products offered through ESI, as well as responding to phone and email inquiries.



The individual in this position will also be called upon to learn all aspects of processing securities business directly with investment companies, as well as by the use of a brokerage platform.





Requirements

Must be Series 24 licensed and may be asked to take additional examinations as deemed necessary.



A bachelor’s degree or a minimum of two year’s experience with a financial services organization is required.



The incumbent will be a professional with a strong background in customer service.



Demonstrate the ability to perform quality work in a fast-paced environment and must be a team player that is able to work with individuals at all levels of the organization.



Superb interpersonal, communication, and organization skills are also required.





 

 

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