Baystate Financial, a Premier Financial Services organization in New England and beyond, is seeking an enthusiastic individual to join our Securities New Business Supervisory team. As an Agency Supervisory Officer (ASO), you will part of a dynamic team working with Financial Advisors and staff associates to ensure adherence to supervisory controls, and regulating policies and procedures established by our Broker-Dealer, FINRA, SEC and state securities and insurance departments.

Summary of Responsibilities:

• Review securities new business and subsequent transactions to ensure suitability requirements are met.
• Review financial deposits into accounts to ensure timely and accurate transactions.
• Assist reps with operations and processing of new business and account maintenance documentation.
• Review and reconcile investment deposits daily.
• Trade correction and resolution, as needed.
• Monitor replacement activity and trending reports. Take restorative action when necessary.
• Assist new Advisor onboarding with the organization on proper systems and execution of new business and continued client engagement.
• Training and education of associates on industry regulations and Firm policies.
• Act as liaison between Broker-Dealer partners and our Advisors and their staff.
• Observe U4, Outside Business Activities and Pay to Play changes and provide guidance to adhere with industry parameters. Work with Advisors to take corrective action as needed to remedy the situation.
• Infrequent travel to offices within the New England area as needed.

Ideal Candidates:

• Strong leadership ability.
• Excellent communication skills, both written and verbal.
• FINRA series 7, 63 (or 66) and 24 a must.
• State insurance license desired.

Financial services industry experience and knowledge of industry regulations necessary.

Equal Opportunity and Affirmative Action Employer

Baystate Financial will never ask job candidates to pay any kind of fee, make cash or check advancements, cash checks or make an investment in any product or service or provide information such as credit card numbers or banking PIN numbers as part of our hiring process.

If you are contacted by anyone asking for information outlined above it is likely fraudulent. If you have any concerns about the veracity of a request, please contact us directly to verify its legitimacy.

Job Type: Full-time

Pay: $55,000.00 - $70,000.00 per year

Benefits:

• 401(k)
• Dental insurance
• Health insurance
• Life insurance
• Paid time off
• Vision insurance

Schedule:

• Monday to Friday

Ability to commute/relocate:

• East Providence, RI: Reliably commute or planning to relocate before starting work (Required)

Experience:

• Financial concepts: 3 years (Preferred)

Work Location: One location

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