|Title:||Branch Office Operations Manager|
|Job Location:||Newport Beach, California - United States|
|Salary:||contact recruiter for details|
|Employer Will Recruit From:||Regional|
* Employee-owned firm
* Upward mobility
*countless awards--'Best Place to Work'-- in states where branches located.
*competitive Comp and benefits
Top-tier boutique-styled Broker/Dealer looking for Compliance/Ops Supervisor. Unique culture, independent firm established 80+ years ago.
Ensure the branch runs smoothly and complies with company policies and procedures and security industry rules and regulations.
Reporting supervisor: Branch Manager
Supervise 6 FAs, and 5 support staff
* Series 7, 65 or 66, 24, 9 and/or 10.
* Minimum 5 years experience with prior supervisory experience.
* Thorough knowledge of Company policies and procedures.
* Seasoned experience in the securities industry, knowledge of industry rules and regulations
University - Bachelor's Degree/3-4 Year Degree