Regional Operations Leader — FINRA 9/10 & Team Growth

Ascendo Resources; Seattle (WA); On-site; USD 85,000 - 120,000; Full time

Job summary

Ascendo Resources is seeking an experienced individual to oversee branch operations in Seattle, United States. The role demands 5+ years of management experience in a broker dealer or wealth management context.

Key responsibilities include leading the Client Service Associate team and ensuring compliance with FINRA regulations. An active FINRA Series 9/10 license and a bachelor's degree in a related field are required.

Qualifications

• 5+ years of management experience within a broker dealer or wealth management firm.
• Active FINRA Series 9 and 10 License is required.
• Proficiency in FINRA regulations and compliance policies.

Responsibilities

• Oversee branch operations and administrative support.
• Lead recruitment and management of Client Service Associate team.
• Conduct performance evaluations and personnel decisions.
• Educate branch employees on administrative policies.

Skills

Management experience

Knowledge of FINRA regulations

Client service policies

Education

Bachelor's degree

Job description

Ascendo Resources is seeking an experienced individual to oversee branch operations in Seattle, United States. The role demands 5+ years of management experience in a broker dealer or wealth management context.

Key responsibilities include leading the Client Service Associate team and ensuring compliance with FINRA regulations. An active FINRA Series 9/10 license and a bachelor's degree in a related field are required.