Responsible for conducting the analysis and OSJ review and supervision of Classic direct mutual fund and direct investment advisory business to include the recommendations for suitability as well as the review and supervision of logs, blotters and general supervision.
Conduct the analysis and OSJ review of direct mutual fund and direct investment advisory recommendations by W&R's financial advisors.
Ensure financial advisor adherence to applicable firm policy regarding recommended transactions.
Request supporting documentation, corrections or further suitability information from the financial advisor or field manager regarding transactions under review.
Respond to inquiries regarding direct business including submission of business, suitability, features of the products and their availability, etc.
Review exception reports, OBA requests, etc. for financial advisor sales activities to detect possible trends or irregularities and provide appropriate education to the financial advisor and/or disciplinary recommendations to management.
Work in partnership with other departments such as the Compliance Department, Client Services or outside fund companies regarding the review of direct business and in carrying out department initiatives, projects and agendas.
Assist in the creation, amendment and maintenance of department IOP's and WSP's.
Have a good level of mutual fund and investment advisory industry knowledge.
Stay abreast of changing industry rules and regulations.
Obtaining other principal registrations will be supported and encouraged by the firm, with additional duties utilizing those registrations required.
Demonstrated knowledge of FINRA & SEC rules and regulations
Strong leadership and interpersonal skills
Must be flexible and a strong team player
Strong conflict-management and problem-solving skills
Ease at establishing rapport, initiating conversations and remembering names
Demonstrate success in organizing, planning, directing and coordinating required activities
Proven ability to initiate projects and work independently
Excellent written, verbal, listening and fact-finding skills
Ability to work with a variety of people at different levels of the organization
Education and Experience: College degree and 1+ years of securities industry experience, preferably in compliance or field management/supervision; or combined relevant education and experience
Series 7, 24, and 66 (or 63/65)
Job Location Overland Park, Kansas, United States Position Type Full-Time/Regular