Lauderdale, FL. is currently looking for a New Accounts Principal to add to our team. Our ideal candidate will have experience as a Principal working with a Broker Dealer. Duties will include:
Conducting suitability and best interest review of customer accounts to ensure compliance with all applicable regulations and internal policies. Accounts include:
Brokerage - NFS, Pershing, IWS
Direct Business - variable annuities, equity index/fixed annuities, RIA TAMPS, 529 plans, alternative investments, and mutual funds
Providing customer service related to new account requests to our advisors act as primary source of information in regards to our accounts and products
Work with compliance team to execute firm's supervisory policies and procedures.
Collaborate in a team environment to manage work-load and daily volume
Candidates should have excellent written and oral communication skills, experience with technology understand that this is "people business," and be able to make decisions independently.