• Manage and monitor adherence to current supervisory procedures and help implement new/revised regulations;

• Disseminate and maintain Compliances Notices and Bulletins;

• Maintain confidentiality of customer and proprietary information;

• Review trade blotters and exception reports to ensure trading activity is in accordance with regulatory and internal trading policies. Conduct appropriate follow-up (includes warnings and notifications, restrictions of certain trading privileges, fines and penalties, and if such trading infractions continue, the potential suspension of trading privileges and ultimately termination of the relationship with xxxx

• Provide remedial training for registered representatives;

• Conduct annual Branch Compliance and AML meetings;

• Conduct daily risk management and monitoring for all traders under branch supervision;

• Diligently conduct AML Reviews;

• Vigilantly supervise registered representatives assigned to designated supervisory jurisdiction. Supervision includes but is not limited to issues involving hiring, termination, licensing, registration, outside activities, personal trading, proprietary trading and risk management;

• Assist in the maintenance of employee and firm registrations such as licensing and continuing education issues;

• Prepare, sign, and review U-4 forms for accuracy, provide documentation of changes (as necessary); complete U-5 forms on a timely basis (no more than 30 days from termination);

• Assure registration information additions or changes are effected and inputted into WebCRD in a timely manner;

• Report suspicious activities to the Compliance Department;

• Report written and other material customer complaints to the Compliance Department; and

• Otherwise fulfill all responsibilities assigned under the firm’s policies and procedures.

SUPERVISORY RESPONSIBILITIES will include but are not limited to:

Manage xxxx employees, associates and customers at registered branch office and remote locations.

QUALIFICATIONS To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

EDUCATION and/or EXPERIENCE

Bachelor’s Degree or 2+ years of branch management experience

NASD Licenses – 4, 7, 24, 55, 63 

OTHER QUALIFICATIONS

Strong organizational skills

Strong communication skills

Strong analytical, problem solving and negotiating skills

Professionalism and tact

SPECIFIC SKILLS

The GSP must be able to read, analyze and interpret branch P&L reports, branch blotters, margin reports, professional journals, and procedures. The GSP must be able to effectively respond to questions by customers and employees; additionally, the GSP must be able to effectively communicate information, issues and solutions to executive management.

WORK ENVIRONMENT The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

The noise level in the work environment is moderate to low. The GSP must be able to effectively perform the duties of the position even if available information or resources are limited. While the environment is sometimes stressful and fast paced due to the nature of the work, the GSP is responsible for always maintaining a high level of professionalism and decorum at the office.

• Review customer new account applications and approve or reject new customer accounts on the basis of AML and “know your customer” requirements;

• Work closely with the customer and New Accounts Dept. to determine appropriate account type and requisite documentation;

• Diligently supervise customer accounts assigned to designated supervisory jurisdiction, including such areas as opening and closing accounts and adherence to trading rules and regulations and firm policies;

• Conduct and memorialize daily blotter and trade reviews for proprietary traders and customers;

• Conduct quarterly review of customer statements;

• Interview prospective proprietary traders (review trading strategies, actual prior trading experience and general level of expertise);

• Periodically review customer account activities to detect and prevent irregularities or potential abuses;

• Assist Compliance with regulatory examinations and internal reviews;

• Follow-up and monitor any deficiencies found in regulatory exams and internal reviews;

• Act as liaison between customers and Compliance in trying to resolve issues and complaints;

• Assist regulators during branch examinations;

• Properly maintain all required branch books and records (including back up and storage) in a secure manner;

• Conduct daily review of incoming and outgoing correspondence including, but not limited to mail and faxes;

• Assist in performing on-site training sessions to help customers and proprietary traders learn and fully understand the functionality and capabilities of the trading platform (via demonstration if appropriate) and trading rules and regulations;

• Work closely with business executives and managers to develop, foster and maintain effective relationships among the company, traders, and customers;

• Select appropriate personnel as delegates to carry out certain delegable supervisory procedures;

• Participate in office meetings and Compliance and administrative conference calls;

• Assist in the completion of supervisory charts and personnel assignments, and participate in miscellaneous supervisory activities;

• Promote and market the benefits of XXXto prospects/customers in a professional manner;

• Maintain a high-level quality of customer service standards in dealing with, and responding to, questions and concerns;

• Ensure a clean, safe environment for xxxxx customers;

• Review, authorize and maintain records of all receipts and disbursements;

• Review for unusual activities that may constitute a violation of securities or other laws and report any issue that may be material to the Compliance Department;