Leadership Role - FINRA Certified - Series 7 & 24 - BFSI

Leadership Role - FINRA(series 7 and 24)certified professionals in Pune!

- Monitor the financial markets, watching the performance of clients- securities.

- Devising - hedging strategies'

- Collecting receivables of coupons & dividends from other brokerages/wire house for all the securities

- Pre approval, NAF review and approval, Trade blotters, Email Surveillance, Trade alerts, Monthly Surveillance activities, etc.

- Perform surveillance reviews and making suitability determinations of alternative investments, private equity, mutual fund replacements, variable annuity purchases, equity-indexed annuities, variable universal life insurance and 1035 exchange/replacements and other products, services and activities.

- Utilizing proprietary surveillance systems to conduct various activity and account-based reviews due to high activity, concentration, margin or the decline in equity of client accounts

- Requesting and obtaining financial advisor responses to client complaints, and assisting the Compliance department with the information gathering process.

Mandates:

- Certification/License in FINRA Series 7, 24