Manager I | PS Sales Principals Team

Job Type

Full Time - Exempt

General Description

Oversee a team responsible for reviewing and approving registered representatives’ activities, ensuring compliance with internal policies and external regulations. Validates transaction suitability, new accounts, marketing materials, and correspondence, mitigating risk through proactive monitoring, reporting, and staff training. Ensures all operations align with regulatory guidelines and company policies; analyzes reports to reduce risk and optimize operational efficiency. Manages staff performance and provides ongoing mentoring and development. Participate in the development and implementation of strategies and procedures.

Essential Duties and Responsibilities

•    Review and approve new accounts, trading documentation, options applications and alternative investments, ensuring compliance with Anti Money Laundering (AML), customer identification program (CIP) and firm standards.
•    Conduct review of trades and ensure they are in the client’s best interests.
•    Prepare trend reports, manage exceptions and escalate potential compliance violations or high-risk activities.
•    Document and/or update procedures carried out by the review desk and publish them.  
•    Ensure all operations, including sales practices and marketing materials, adhere to FINRA, SEC and regulations. 
•    Collaborate with internal and external auditors, compliance officers, branch manager and legal team to uphold internal standards and respond to evolving regulatory requirements. 
•    Provide guidance on compliance, sales strategy and practice management programs.
•    Specialization in specific products like options, municipal securities and municipal fund securities. 
•    Collaborate with efficiency initiatives. 

Education

Bachelor’s or Master’s degree in Business Administration with concentration in Finance, Accounting, Management, Economy or related field

Certifications / Licenses
Required: FINRA Series 7 and Series 24
Preferred: FINRA Series 4, 53, and 65/66- Candidates without preferred licenses must be willing to study for and obtain them.

Experience

• At least three (3) years of experience working with broker-dealers and/or Registered Investment Advisors
• At least three (3) years of experience in regulatory compliance (SEC, FINRA, AML)
• Supervisory experience preferred

Other Qualifications

•    Effective oral and written communication skills in Spanish (advanced level) and English (fluent)
•    Excellent public speaking and presentation skills
•    Ability to prepare written correspondence, reports and/or procedures
•    Strong understanding of FINRA/SEC and MSRB rules/regulations, including suitability, CIP and AML
•    Strong knowledge and understanding of securities products, structured products and regulatory environment
•    Strong leadership and negotiation skills
•    Proficient in Microsoft Office 365, including Excel, Word, Power Point, Teams and Outlook
•    Knowledge and skills in the analysis of financial information.
•    Analytical skills
•    Excellent interpersonal skills and teamwork
•    Ability to work under pressure and meet deadlines
•    Organizational skills to handle multiple tasks simultaneously
•    Strong attention to detail  
•    Ability to work independently, and to prioritize and complete tasks under multiple deadlines
•    Requires the ability to apply principles of logical thinking to define problems, collect data, establish facts, and draw valid conclusions.

Region Locations

Popular Center Building

Sabn Juan, PR

Work Schedule

On-site
Monday to Friday- 8:30 am to 5:30 pm
Flexibility to work non-business hours ,holidays, and weekend when needed

Values