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Job Order:
0727-001-1011

Job Type:
Permanent

Title:
OSJ Manager

Location:
Far Northwest Suburbs – Chicago Area

Description:
Summary/Responsibilities:
The primary purpose of the OSJ Manager is to supervise the business of our representatives to ensure suitability by following the rules and regulations of the industry and policies and procedures of Financial Network.
Review, daily, paperwork for required disclosures. Document additional discrepancies found on Processing Discrepancy log. Proof of review is completed by initialing the bottom right hand corner of each page in each unit of paperwork.
All documents are to be reviewed for industry rules and regulations using the FINRA manual and online trainings as a tool. Documents are also to be reviewed based on FNIC/OSJ policies and procedures. The transactions are to be reviewed based on the client’s financial position and objectives. These tools are available in the OSJ Manager’s Guide and the OSJ written procedure manual
On-Line trades are to be reviewed daily for green, yellow and red flag trades.
Audits of registered and non-registered locations are to be performed according to the schedule criteria listed in the OSJ Manager’s guide. The Sales Branch module and Pre and Post Checklists are to be used to complete the audit. Thorough notes of deficiencies are to be kept and a follow-up letter created at completion of the audit (no more than 30 days after audit is completed)

Requirements:
Education and Experience:
Series 7, 66 (or S63 and 65), 24, 4 and 53 desired.
Proficient in Word and Excel; excellent organizational and communication skills; able to work well under pressure and be deadline driven; has a strong ability to multi-task and prioritize; is very team oriented; maintains a pleasant attitude with clients; and has an eye for detail.


Category:
Broker Dealer

Contact:
tamara@bcius.com