FINRA Principal Manager — Team Lead, Compliance & Service

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

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.