Job Description Summary

Perform branch supervisory functions in accordance with regulatory and company requirements. Supervise the activities of Approved Persons engaged in selling mutual funds and life insurance products.

Responsibilities

• Pre-trade Know Your Client (KYC) review.
• Interact with clients (in a licensed capacity) to facilitate transactions when Approved Person (AP) is unavailable or it is not feasible for the client to work with the AP.
• Tier-1 Trade Reviews – post-trade reviews of transactions.
• Provide support and act as an information resource for APs.
• Learn and understand WFGS policies and procedures.
• Provide support to APs and direct other resources as appropriate.
• Review and report as required by any AP who may be subject to supervisory requirements, including initial Outside Business Activities (OBA) in keeping with WFG Securities, Inc. policies and procedures.