Regional Manager - (US-NC-Charlotte)

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. 

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