Sales Supervisor

Job Description

We are seeking a Broker-Dealer (BD) Sales Supervision professional responsible for supervising all BD related activities and serve as a home office point-of-contact for LSF Branch Offices. This is a ground floor opportunity with a dynamic firm with experienced leadership. This role will be multi & cross functional to join a team building a differentiated model in the Financial Services industry. The following are the primary responsibilities for this role based in Austin Texas:

• Responsible for the supervisory review of new accounts and trades
• Responsible for the review of written and electronic correspondence
• Monitor policies and procedures for compliance and relevant regulation and industry best practices
• Assist with Investment Advisory Compliance in accordance with SEC Rule 206(4)-7 of the Investment Advisers Act of 1940 and related guidance by the SEC
• Develop BD training and education materials for the financial professionals and conduct training for the same
• Review home-office compliance with relevant BD regulations
• Conduct marketing material reviews
• Monitor and review trading activity for LSF representatives outside brokerage accounts
• Assist the CCO with the resolution of disputes regulatory audits and customer complaints
• Work with the CCO and VP of Compliance and Supervision in strategic planning
• Keep abreast of regulatory changes and updates and assist with related manual and policy and procedure updates
• Other duties and projects as assigned
• Familiarity with Variable Annuity and Variable Life products

Desired Skills and Experience

The ideal candidate should possess over 2 years experience in the FINRA and SEC regulated Broker-Dealer/RIA space with the requisite licenses. The ideal candidate will poses the following qualities and skills:

• In depth knowledge of FINRA Notice to Members 10-22 regarding a Broker-Dealers responsibility to conduct Due Diligence on new products being offered by the Firm
• Thorough knowledge of Alternative Investments
• Committed to creating a professional environment that places a high value on accountability and teamwork
• Excellent interpersonal communication skills both written and verbal
• Strong organizational skills with ability to prioritize activities
• Maintain a strong client focus and the desire to build relationships during each interaction
• Strong technical skills in the MS Office software suite (Word Excel PowerPoint Outlook etc.)
• Capable of handling multiple tasks and responsibilities
• Ability to work independently and take initiative while being part of a team
• Proven work ethic with a high level of integrity to build trust with our clients and colleagues
• Can get excited about joining an experienced team and contributing to the direction and growth of the company
• Experience with Pershing LLC preferred

Educational/Licensing Requirements

• College degree preferred
• Series/66
• Life Insurance License preferred
• Operational Experience preferred

Benefits:

In exchange for your hard work and dedication we offer:

• Competitive compensation package
• Medical dental vision and life insurance
• Voluntary disability
• Paid time off
• 401K with company match

We work to maintain the best possible environment for our employees where people can learn and grow with the company. We strive to provide a collaborative creative environment where each person feels encouraged to contribute to our processes decisions planning and culture.

Company Description

Lion Street Inc. is a privately held financial services distribution company based in Austin Texas. Lion Street provides elite independent financial advisors many of which have roots in the life insurance industry access to the financial products intellectual capital and specialized resources they need to meet the sophisticated financial planning needs of their high-net-worth and corporate clients. The Broker-Dealer Lion Street Financial LLC and RIA Lion Street Advisors LLC are based in Austin Texas. Founded in 2010 Lion Street is managed by a team of experienced industry veterans and is a portfolio company of Austin Ventures.

NOTE: The information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties responsibilities and qualifications required of employees assigned to this job.

About Integrity

Integrity is one of the nations leading independent distributors of life health and wealth insurance products. With a strong insurtech focus we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their life health and wealth so they can prepare for the good days ahead.

Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why Because we put our people first! At Integrity you can start a new career path at company youll love and well love you back. Were proud of the work we do and the culture weve built where we celebrate your hard work and support you daily. Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package including benefits that make work more fun and give you and your family peace of mind.

Headquartered in Dallas Texas Integrity is committed to meeting Americans wherever they are in person over the phone or online. Integritys employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information visit .

Integrity LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex gender identity national origin disability veteran status or any other characteristic protected by federal state or local addition Integrity LLC will provide reasonable accommodations for qualified individuals with disabilities.