Urgent | Finra Licensed Team Lead | Taguig

Location: McKinley West, Taguig

Benefits: Free parking (first come, first served)

Work Set-up: Hybrid work set up - 3x/week onsite

Required Qualifications: FINRA Series 7 and Series 24 are required; Series 66 is an advantage. Bachelor's degree or equivalent work experience. 8 years of work experience, plus 2+ years related in financial services, securities operations, compliance, and/or supervision. Previous work experience in direct management and leadership roles. Effective stakeholder management. Excellent written and verbal communication skills. Willingness and ability to work in night/rotational shifts. Job Description: Manage stakeholder expectations to support the operations of the company, comply with FINRA and regulatory guidelines; apply knowledge of operations and broker-dealer supervision and FINRA regulations/procedures, and state & federal regulations to make appropriate, accurate, and timely decisions. Ensure reporting in terms of team & individual training progress to superiors. Communicate strategy, company goals, and deadlines to the team; motivate team members and assess performance. Communicate concerns and policies among management and team members. Responsible for effective stakeholder management, new migrations, customer satisfaction, operational risk management, and building a culture of innovation and process simplification. Design, develop, coordinate, and conduct large or small-scale training programs required for individuals and teams. Review general transactions by associates in all products to ensure they are appropriate for the client and adhere to regulations. Responsible for reviewing new business, emails, processes, and financial plans, analyzing products, and communicating with the Advisor Network.
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