FINRA Principal Consultant (Series 24)

Genpact; Quezon City; On-site; PHP 1,000,000 - 1,500,000; Full time

Job summary

Genpact is seeking a Manager - FINRA Principal with Series 24 licensing to lead a team of investment specialists and ensure compliant, high‑quality client service. The role focuses on coaching staff, driving performance, and implementing effective processes within a regulated financial services environment.

The ideal candidate will have 5+ years in customer service, 3+ years in a broker-dealer setting, and proven leadership with a strong compliance mindset.

Qualifications

• Bachelor's or Associate Degree or equivalent experience.
• 2+ years of management experience preferred.
• 5+ years general customer service experience.
• 3+ years of experience in a Broker Dealer setting.
• Call center or processing center management experience strongly preferred.
• Experience hiring, training, motivating, monitoring, and coaching teams of customer service & processing employees.
• Strong leadership and management skills to include experience in employee conflict resolution and development.
• Strong written communication skills are required to answer questions and communicate issues clearly & concisely to associates, customers as well as management.
• Ability to react to change quickly and implement new processes & procedures.
• Ability to work independently with little or no supervision.
• Professional demeanor and excellent work habits are essential.
• Financial services specific customer service experience preferred.
• Understanding of Situational Leadership, high Emotional Intelligence.
• Some evenings and weekend days may be required.
• Must have one of the following existing licensing combinations: Series 7, 63, & 65 OR Series 7 & 66.
• Must have: Series 24 Active License (or ability & desire to pursue this credential immediately following hire)

Responsibilities

• Independently manage a team of investment specialists
• Hire, train, motivate, monitor, and coach team members
• Foster an environment focused on finding solutions to problems and innovative differentiators
• Ensure that the team is following procedures and providing first‑rate customer service
• Monitor service levels, inbound volume and schedule adherence
• Experience managing team member performance by defining clear goals, objectives, responsibilities and priorities
• Ability to identify and escalate issues, and propose recommended solutions regarding process improvements for systems and procedures
• Monitors the day‑to‑day activities of functional areas to ensure compliance to internal policy, legal and pertinent regulations; establishes, monitors, and maintains internal policies and procedures as well as business continuity plans
• Utilizes experience and specialized knowledge of specific functional areas and internal policies and procedures to respond to and make appropriate decisions to resolve the most complex situations referred by staff
• Participates in cross‑functional projects as requested

Skills

Leadership

Team management

Customer service

FINRA licensing

Series 24

Broker Dealer

Coaching

Regulatory compliance

Communication

Hiring & training

Education

Bachelor's degree or equivalent experience

Job description

Inviting applications for the role of Manager - FINRA Principal, Series 24 Licensed

We are seeking a highly motivated and experienced FINRA Supervisor who will manage (or co‑manage) a team of Agents with responsibility for the day‑to‑day operations of the team. Responsible for helping drive the team to deliver exceptional Member/Consumer experience while maintaining full FINRA compliance.

Responsibilities:

• Independently manage a team of investment specialists
• Hire, train, motivate, monitor, and coach team members
• Foster an environment focused on finding solutions to problems and innovative differentiators
• Ensure that the team is following procedures and providing first‑rate customer service
• Monitor service levels, inbound volume and schedule adherence
• Experience managing team member performance by defining clear goals, objectives, responsibilities and priorities
• Ability to identify and escalate issues, and propose recommended solutions regarding process improvements for systems and procedures
• Monitors the day‑to‑day activities of functional areas to ensure compliance to internal policy, legal and pertinent regulations; establishes, monitors, and maintains internal policies and procedures as well as business continuity plans
• Utilizes experience and specialized knowledge of specific functional areas and internal policies and procedures to respond to and make appropriate decisions to resolve the most complex situations referred by staff
• Participates in cross‑functional projects as requested

Minimum & preferred experience and skills:

• Minimum Bachelors or Associate Degree or equivalent experience
• 2+ years of management experience preferred
• 5+ years general customer service experience
• 3+ years of experience in a Broker Dealer setting
• Call center or processing center management experience strongly preferred
• Experience hiring, training, motivating, monitoring, and coaching teams of customer service & processing employees
• Strong leadership and management skills to include experience in employee conflict resolution and development
• Strong written communication skills are required to answer questions and communicate issues clearly & concisely to associates, customers as well as management
• Ability to react to change quickly and implement new processes & procedures
• Ability to work independently with little or no supervision
• Professional demeanor and excellent work habits are essential
• Financial services specific customer service experience preferred
• Understanding of Situational Leadership, high Emotional Intelligence
• Some evenings and weekend days may be required
• Must have one of the following existing licensing combinations: Series 7, 63, & 65 OR Series 7 & 66
• Must have: Series 24 Active License (or ability & desire to pursue this credential immediately following hire)

Genpact is an Equal Opportunity Employer and considers applicants for all positions without regard to race, color, religion or belief, sex, age, national origin, citizenship status, marital status, military/veteran status, genetic information, sexual orientation, gender identity, physical or mental disability or any other characteristic protected by applicable laws. Genpact is committed to creating a dynamic work environment that values respect and integrity, customer focus, and innovation.