Administrative Manager- Kansas City Complex (Leawood, KS) : 1100050763 Job Details

• Compliance visits to associate offices
• Monitoring daily trading activity
• Reviewing active accounts and resulting client contacts
• Ensuring that Financial Advisors and Client Associates are properly licensed to conduct business
• Responding to regulatory inquiries
• Resolving client complaints
• Participating in mediations, arbitrations and litigation
• Monitoring legal bills and working with Law and Compliance and senior management to resolve regulatory issues and to negotiate settlements
• Proactively identifying issues and exposure items

Qualifications

Required:

• Series 7, 9, 10, 63 and 65 or 66
• 5+ years prior Financial Services professional experience required,
• 5+ preferably within a branch office environment
• Expert knowledge of regulatory and supervisory requirements and corporate policies and procedures
• Branch office experience including knowledge of sales, products and operations.
• Broad knowledge of internal and branch office reporting systems and reasonable facility with computer applications
• Ability to communicate effectively (both orally and in writing)
• Strong management skills, including the ability to effectively plan, monitor, influence, negotiate, supervise and delegate
• Effective interpersonal skills including maturity, sound judgment, teamwork orientation, and sensitivity to deal with confidential business, human resources, and client-related information and issues