This job has expired, please see additional jobs below
Administrative Principal
Foresters Financial Services
Silver Spring, MD, United States
Job Details - this job has expired, please see similar jobs below
Description
ESSENTIAL DUTIES AND RESPONSIBILITIES:
Clerical/Administrative Support:
• Perform clerical/administrative support function in the office including answering the telephone, filing, copying, ordering supplies, etc.
• Maintain supply room materials ensuring appropriate inventory and most current printed documents.
• Receive visitors to the office in a professional manner and provide notification to appropriate individuals.
• Arrange for meeting and/or catering needs as requested.
• Coordinate resolution of issues pertaining to office operations (e.g. IT, office supplies and equipment, etc).
• Review all incoming transactions in Docupace for completeness and accuracy before forwarding to manager, if appropriate.
• Enter transactions into the appropriate blotters.
• Print/Review BOSS reports and/or other compliance-related reports
Administrative Principal Responsibilities:
All responsibilities under this category must be performed in accordance with the Compliance Manual and are ultimately the responsibility of the Branch Manager. Applicable licenses are required to some of these functions.
• Review for suitability and approves transaction paperwork via Docupace.
• Handle Home Office inquiries/issues as they pertain to paperwork and the processing of transactions
• Monitor Social Media communications for regulatory and firm compliance.
• Reviews written and electronic correspondence for compliance with regulatory and firm requirements.
• Review and approve blotter and order tickets – maintains Blottering process as required.
• Handle the Do-Not-Call review
• Maintain advertising and sales literature file.
• Submit and follow up on U-4 amendments.
• Play an integral role in the Office Inspection Program and quarterly reviews.
EDUCATIONAL REQUIREMENTS:
• College degree and/or equivalent work experience.
EXPERIENCE AND BACKGROUND REQUIREMENTS:
• To assume the Administrative Principal role, the individual must possess, at a minimum, the following licenses[1]:
-Life insurance license
-Series 6
-Series 63
-Series 26
• The following FINRA licenses are required as part of the AP role and should be obtained in the following sequence:
-S7
-S24
-S65/66
-S51
• Knowledge of FFS sales force and products and services preferred
• Understanding of FINRA and other regulatory requirements and guidelines
• Exceptional written and oral communication skills
• Self–starter and highly motivated; critical thinker
• Ability to ask probing questions
• Strong analytical, organizational and follow-up abilities
• Proficient in Microsoft Word and Excel
Foresters Financial will pay for the first two attempts at sitting for each exam. Subsequent exam fees will be the AP’s responsibility. To support the AP’s ability to successfully pass an exam, Foresters Financial will provide a one-time reimbursement per pre-licensing class. Classes must be pre-approved by Executive Sales prior to enrolling.
Foresters Financial is an Equal Opportunity Employer.