Regional Manager - (US-CO-Denver)

Regional Manager - (US-CO-Denver)

Compensation: $75K - $100K / Year
Minimum Education: Bachelors
Job Type: Full Time
Jobcode: TJKJA19

Regional Manager - (US-NC-Charlotte) 

Compensation: $75K - $100K / Year 
Minimum Education: Bachelors 
Job Type: Full Time 
Jobcode: TJKJA18 


Salary is quoted above PLUS bonus 


The Regional Manager is responsible for assisting Branch Managers with 
surveillance, supervision, control and oversight of all the registered 
employees within the assigned Hub. This includes all licensed employees 
from Institutional Services, Wealth Management, Individual Client 
Services, Marketing, and any other employee registered though The 
Company's Individual & Institutional Services, LLC. This position will 
also provide support as needed to the other divisions and branches 
within their region. 

* Requirements: 
Minimum of a Bachelors degree 
Minimum of 7-10 years of broker dealer/regulatory and corporate business 
experience 
Currently functioning in a regional supervisory role related to 
risk/compliance 
Strong written and verbal communication skills, including reports and 
presentations 
Strong organizational, time management, analytical and negotiation 
skills 
Ability to develop and assess process flows, procedures, processing 
guidelines 
Ability to navigate and obtain evaluation information simultaneously 
from various systems 
Ability to execute multiple assignments with minimal oversight 
Ability to effectively communicate with, lead, and motivate employees 
Proficient Microsoft Office skills, including Excel, Word and PowerPoint 

Maintains the highest standards of integrity, respect, and 
confidentiality 
Series 7 and Series 24 (Series 65 and Insurance License a plus) 
Limited travel is required (20 % max) 

Responsible and accountable for insuring all activities comply with all 
Federal and State laws and regulations as well as the firm's policies 
and procedures 
Act as conduit between compliance and associates and communicate issues 
to the Hub Branch Managers and the Manager of Branch Supervision 
Support / review compliance, operations and other corporate 
communications; disseminate relevant materials to management and 
associates 
Work closely with Brokerage, Pension and other Company Operations units 
to assist in the resolution of escalated operations issues 
Assist with regional office visits and Non registered locations as 
needed 


Email resume in Word to TheBigGameHunter@cisny.com. Please include the 
job code for the position with your resume. 

NO RELOCATION. NO VISA TRANSFERS. NO OVERSEAS RESUMES. NO 3RD PARTIES. 

To receive a complimentary subscription to my job search ezine, No B.S.Job Search Advice, go to www.JeffAltman.com to subscribe. Receive tweets from Twitter with job search tips - TheBigGameHuntr