Supervisory Principal Private Client Services

Company Name:
Ascendo Resources, LLC
Our client is a global institution and they are currently seeking a Senior Candidate who will be the Supervisory Principal for their Private Client
based in Buffalo. This
is responsible for reviewing and supervising the Private Client investment business.

In this role you will:
be responsible for account applications for client suitability and ensuring compliance with FINRA
Identify and document trade exceptions
complete new accounts reviews including reviewing and approving all new brokerage accounts and ensuring receipt of all required documentation
respond to related branch and customer service inquiries including those related to account opening, reviewing account opening for Anti-Money Laundering monitoring,
provide principal sign-off and review as required
Maintains internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators

Minimum of four years proven and progressive financial sales and retail brokerage experience or equivalent, including a strong background in investment sales
Bachelors degree in business, finance, accounting, related field or equivalent experience
Series 7, 63, 9 and 10 licenses; series 53, 66, 24 and 4 licenses preferred
Strong communications, problem-solving, lateral thinking, organizational and interpersonal skills
Self-motivated and able to work in a team-based environment
Proficiency with personal computers as well as pertinent mainframe systems and software packages

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