Job Code: 10136041
Mandatory / Primary Skills:
Must be able to maintain a high level of accuracy and pay attention to detail. Must have basic PC skills. Required good problem solving, organizational, analytical, oral and written communication skills. Must have company product knowledge, knowledge of state licensing and appointment requirements and FINRA registrations rules and requirements.
Must become an associated person of Securities, Inc. which requires fingerprinting and a full background check. Requires high school diploma and 2-4 years of experience. For positions with Global Investors, you will be required to comply with a Code of Ethics which covers a number of obligations related to personal and business conduct as well as personal trading activities for you and members of your household.
These same requirements may also apply to other positions across the organization.
Provide a variety of services to marketers, sales offices, business partners and department personnel.
This includes evaluating and approving/declining a marketer's request to be contracted with the company and/or registered with our broker-dealer within company guidelines and complaint procedures based on SEC, FINRA, state regulations and compensation related issues.
Analyze and appropriately resolve applications submitted in which the marketer may not have been released to sell.
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