Directly Manages CAC phone based Financial Advisors in assigned Region (Orlando).
FINRA Registered Supervising Principal with authority to approve documents requiring Principal Review.
Handles all HR related issues for the CAC including interviews, hiring, FMLA, writing & delivering Semi & Annual Reviews, approving time off, resolving problems, etc.
Implements procedural changes often participating in Project Teams providing input, training team, communicating updates & answering questions from CAC FAs.
May represents SunTrust Investment Services CAC in complaint resolution calling & writing clients as well as keeping FINRA/STIS Complaint Files logging complaints with STIS Compliance & obtaining proper approvals prior to final communications to the client.
Some travel to various regions is involved to participate in STIS Regional FA Manager Meetings, Conferences & Training Sessions.
Extensive Continuing Education Requirements required both by SunTrust Bank as well as SunTrust Investment Services to support: Series 7, Series 66 (Advice), Series 24 (Principal), Life, Health & Variable Annuity Insurance in many states in the SunTrust Southeast Footprint as well as other states nationwide as needed.
Responsible for ensuring that all business transactions and practices within CAC comply with all regulatory requirements and the SunTrust Code of Conduct. Qualifications
Minimum Requirements: 7 years of retail brokerage sales experience. Experience managing sales leaders and bank channel brokerage advisors. Series 24,7,4,53,66 registrations required, insurance license(s) required.
Preferred Requirements: Leading and managing call center type environment
Equal Opportunity Employer: SunTrust supports a diverse workforce and is a Drug Testing and Equal Opportunity Employer. SunTrust does not discriminate against individuals on the basis of race, creed, color, gender, religion, national originTo review the EEO Poster, copy and paste the following link into your browser: http://www1.eeoc.gov/employers/upload/eeoc_self_print_poster.pdf http://www.dol.gov/ofccp/regs/compliance/posters/pdf/OFCCP_EEO_Supplement_Final_JRF_QA_508c.pdf