Licensing Requirements
- Prefer candidates possessing an active Series 7, 63, 24 (or 9/10), and Series 65 or 66.
- Will consider candidates who have their Series 7, 63, 65 or Series 66 with the ability to obtain their Series 24 (or 9/10) within in 90 days.
J.W. Cole Company Profile
J.W. Cole is a Tampa-based Broker-Dealer and Registered Investment Adviser providing robust service, operational, product, compliance, and practice support to approximately 500 Financial Professionals nationwide. At J.W. Cole, we recognize that we are as much in the relationship business as we are in the financial services business. Therefore, we are passionate about the importance of strong relationships between our Financial Professionals, clients, and the Home Office staff.
Job Summary
J.W. Cole is seeking a highly motivated innovative team player to join our Sales Supervision team to support, coach and oversee the Supervisory function of our Financial Professionals while working alongside our Senior Relationship Managers. The successful candidate will help to reasonably ensure Financial Professionals remain compliant with applicable federal and state rules, regulations, and best practices while providing meaningful advice toour Financial Professionals to help deliver value to their clients.
The successful candidate will be outgoing, exhibit a positive attitude, have exceptional organization and follow-up skills, be resourceful, and be highly effective in seeking out answers within the organization and with our vendor partners. The Firm is not currently seeking remote candidates but will consider applicants willing to relocate to the Tampa Bay area.
Responsibilities
The primary responsibilities of an Associate Relationship Manager:
- Provide review and approval of all investment transactions as required by FINRA, the SEC, and the DOL.
- Work with Senior Relationship Managers to support the needs of each of their respective regions.
- Act as liaison between the Financial Professional and the Home Office.
- Recognize opportunities to implement best practices within the Financial Professional’s day-to-day business.
Qualifications
- The perfect candidate will have at least two years’ experience working for a Securities Broker Dealer and/or Registered Investment Adviser in Compliance or Sales Supervision.
- The successful candidates will have knowledge of investment concepts, practices and procedures of the securities industry.
- Knowledge of suitability concepts and (Reg BI) best interest standards applied to recommendations of employer sponsored plan rollovers and investment products, including Variable Annuities, Index Annuities, Mutual Funds, 529 plans, and some complex investments.
- Candidates must possess an ability to interpret and apply FINRA and SEC regulation and recommend firm best practices to Financial Professionals and their staff.
- Must possess a communication and relationship building prowess with Financial Professionals, other Business Units, and Senior Management.
- Must possess and project confidence on the phone and in person when communicating with well-established successful Financial Professional business owners.
Education/Experience
- Bachelor’s degree and at least two years industry experience preferred, or any equivalent combination of experience, education, and /or training.
Job Details
- Full-time
- Location: Tampa, FL
Benefits
- 401(k) with matching
- Comprehensive Health Insurance
- Dental & Vision Insurance
- Short-term and Long-term disability
- Paid Time Off
Job Type: Full-time
Pay: $60,000.00 - $70,000.00 per year
Benefits:
- 401(k)
- 401(k) matching
- Dental insurance
- Health insurance
- Life insurance
- Paid time off
- Vision insurance
Weekly schedule:
Work setting:
Education:
Experience:
- Financial Services: 2 years (Required)
License/Certification:
- Series 7, 63, 65 or Series 66 (Required)
Ability to Commute:
- Tampa, FL 33634 (Required)
Ability to Relocate:
- Tampa, FL 33634: Relocate before starting work (Required)
Work Location: In person