обновлено 8 дней назад
Lead Assoc Workplace Planning & Stock Plan Participant Services (Wealth Management)
Вакансия из Hirify Global, списка международных tech-компанийДля мэтча и отклика нужен Plus
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Lead Assoc Workplace Planning & Stock Plan Participant Services (Wealth Management): Supervising investment service operations in an onsite role in Taguig, including complex participant escalations, brokerage trade approvals, regulatory reviews, and quality monitoring with an accent on FINRA/SEC compliance and wealth management support. Focus on coaching associates, resolving escalated account issues, conducting Best Interest Profile reviews, and improving service quality through trend analysis and training resources.
Location: Onsite in City of Taguig, Metro Manila, Philippines
Company
provides financial services focused on helping customers achieve financial freedom through wealth and investment solutions.
What you will do
- Supervise the Investment Service team as a Principal and provide oversight under FINRA, SEC, and internal requirements.
- Handle complex participant and client escalations, research account issues, and coordinate resolutions with managers and internal partners.
- Review and approve brokerage trades, implement trade corrections, and perform required fraud verification for high-value distributions.
- Conduct call-quality monitoring, Best Interest Profile supervisory reviews, regulatory checks, and trend analysis.
- Coach, mentor, train, and cross-train associates on wealth management conversations, cross-selling, and tax-exempt strategies.
- Develop job aids, training manuals, new-hire resources, and product training materials.
Requirements
- Bachelor's degree or equivalent financial services experience.
- At least 5 years of wealth management experience.
- FINRA Series 7, Series 24, Series 63, and Series 65 or Series 66 registrations required within established timelines; Series 9 and 10 may replace Series 24.
- FINRA fingerprinting, brokerage trading and trade approval experience, and experience resolving escalated client or participant issues.
- Knowledge of wealth management, tax-exempt strategies, FINRA and SEC requirements, supervisory reviews, and regulated brokerage operations.
- Ability to work independently, exercise sound judgment, coach associates, and develop training resources.
Nice to have
- Experience as a FINRA-registered Principal or in securities supervision.
- Experience with quality monitoring, supervisory controls, trade corrections, and regulatory exception management.
- Experience coaching wealth management, brokerage, or investment service professionals.
- Experience developing job aids and associate development resources.
Culture & Benefits
- Flexible work environment and opportunities for internal mobility.
- Focus on purpose, well-being, work-life balance, and an inclusive workplace.
- Participation in volunteering and community initiatives.
- Regular involvement in meetings, training, and leadership or department initiatives.
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