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M Financial Group
Dallas, TX, United States
M Financial Group is a community of leaders comprising the best and brightest minds in our industry. By combining individuals' expertise and skill, M Financial Group has become a powerful force committed to advancing the interests of our industry, communities, and clients for over 40 years.M's solutions are rooted in the diverse expertise of our te
Job Source: M Financial GroupM Financial Group
Dallas, TX, United States
M Financial Group is a community of leaders comprising the best and brightest minds in our industry. By combining individuals' expertise and skill, M Financial Group has become a powerful force committed to advancing the interests of our industry, communities, and clients for over 40 years.M's solutions are rooted in the diverse expertise of our te
Job Source: M Financial GroupDepartment Of The Treasury
Dallas, TX, United States
Summary Click on "Learn more about this agency" button below to view Eligibilities being considered and other IMPORTANT information. WHERE CAN I FIND OUT MORE ABOUT OTHER IRS CAREERS? Visit us on the web at www.jobs.irs.gov Learn more about this agency This job is open to * Career transition (CTAP, ICTAP, RPL) Federal employees who meet the d
Job Source: Department Of The TreasuryCoppell ISD
Coppell, TX, United States
Lead, direct and manage the instructional programs, student activities and services at the campus level. Supervise campus operations and personnel. Oversee compliance with district policies, success of instructional programs, and operation of all campus activities. QUALIFICATIONS: Education/Certification: Master's degree required Valid Texas Mid-
Job Source: Coppell ISDE4H
Dallas
Job Description Job Description E4H Architecture is a 100% healthcare and health sciences firm dedicated to creating flexible, creative environments that enhance health and well-being. Currently we are seeking a talented individual for the role of Principal to join our team. This individual will be responsible for leading the interview presenta
Job Source: E4HCoppell ISD
Coppell, TX, United States
Lead, direct and manage the instructional programs, student activities and services at the campus level. Supervise campus operations and personnel. Oversee compliance with district policies, success of instructional programs, and operation of all campus activities. QUALIFICATIONS: Education/Certification: Master's degree required Valid Texas Mid-
Job Source: Coppell ISDHuckabee
Dallas
Job Description Job Description Huckabee is one of the fastest growing A/E firms in the nation and one of the top educational design firms. We are a mission-driven company that is dedicated to the success of all students. What we do matters, which is why we look for people who share our passion for changing the world through design and who want t
Job Source: HuckabeeHuckabee
Plano, TX, United States
Job Description Job Description Huckabee is one of the fastest growing A/E firms in the nation and one of the top educational design firms. We are a mission-driven company that is dedicated to the success of all students. What we do matters, which is why we look for people who share our passion for changing the world through design and who want t
Job Source: HuckabeeDallas, TX, United States
What You'll Do
First-line supervisory responsibility for assigned advisors and OSJ Managers as part of a supervisory team
Accept new accounts on behalf of the firm
Review and approval of transactions for suitability and documentation of mutual fund, variable annuity, and alternative investment business
Performs OSJ license review and transaction review in Gateway, IFG’s electronic account, and trading system.
Identifies and executes training based on advisor needs and opportunities
Works with financial professionals to address concerns and to educate concerning firm policies
Works with management and other supervisory/compliance personnel on escalated sales practice issues
Work independently to ensure department deadlines are met and service levels are maintained
Reviews electronic correspondence through email monitoring system
Creates and analyzes monthly reports designed to detect transaction-based risk
Conduct post review of trades for suitability
Prepares additional Supervision reports as requested
Develops additional compliance reports as necessary
Serve on various committees and projects as determined by management.
What You’ll Bring
4+ years securities industry experience required
2+ years of direct supervision experience at a Broker Dealer
FINRA Series 7, 24 (or S9/10) are required
Knowledge of mutual funds, annuities, general securities, and other financial products required
Knowledge of FINRA, SEC, and State rules and regulations
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Email Alert for Supervisory Principal jobs in Dallas, TX, United States
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