We are hiring! Securities Suitability Specialist – Direct Business
Packerland Brokerage Services, Inc., a nationally recognized Broker Dealer and Registered Investment Advisor headquartered in Green Bay, Wisconsin, is seeking a qualified candidate to join our dynamic team as Securities Suitability Specialist. The Securities Suitability Specialist will be an integral part of the Direct Business Team (non-brokerage) in the daily processing and suitability review of applications received from our Registered Representatives.
The Securities Suitability Specialist also shares responsible for training representatives, staff and OSJs (Offices of Supervisory Jurisdiction) on Direct Business policy, procedures, and systems, and this position is integral in identifying NIGO (not in good order) trends in order to develop training and resources to reduce NIGO and reduce processing times.
- Conduct suitability reviews of application-way securities business, including mutual funds, variable annuities, fixed annuities, fixed-index annuities, 529 plans, financial plans, and solicitor’s/co-adviser managed programs
- Work with representatives via email, phone, in person to foster an understanding of Direct Business policies and procedures and the process for submitting business
- Work with representatives to resolve NIGO paperwork
- Continuously identify opportunities to improve processes and to reduce NIGO and provide input to Management
- Respond to representative questions and inquiries
- Assist in all areas of the business processing unit as needed, including data entry at times, conducting suitability reviews, scanning, and submitting business to investment companies
- Maintain a working knowledge of products, companies, rules, and regulations
Qualifications & Skills
- College degree preferred but not required in lieu of significant subject matter experience
- 2+ years working with customers and clients in a professional setting
- Experience supervising securities business preferred; experience as a registered representative considered
- Knowledge of fixed and fixed-index annuities preferred
- Series 7, 24, 63 and 65/66 required with 52/53 preferred (will be required over time)
- Computer proficiency with Microsoft Office suite including Word, Excel, Outlook, and PowerPoint
- Ability to learn new technologies and systems
- Ability to multitask and remain focused in busy office environment
- Self-accountability and the discipline to work from home on occasion
- Demonstrated ability to contribute to a small but high-performing team
- Demonstrated planning, organizational, and communication skills
- Demonstrated ability to foster inter and intradepartmental collaboration
About Packerland Brokerage Services, Inc.
Founded in 1994 and located in Green Bay, WI, Packerland Brokerage Services is a Broker-Dealer and Registered Investment Adviser with the Securities & Exchange Commission (SEC). Packerland supports independent financial advisers nationwide and empowers them to grow and manage successful independent businesses. Packerland Brokerage Services, licensed to offer securities, investment advisory services, and products, is a member of both FINRA (the Financial Industry Regulatory Authority) and SIPC (the Securities Investor Protection Corporation).
For registered representatives or financial advisers interested in joining Packerland Brokerage Services, please visit www.packerlandbrokerage.com or contact Scott at 920-662-9500.
Packerland Brokerage Services offers competitive compensation and benefits. Packerland Brokerage Services is an Equal Opportunity Employer.
If you feel you meet these requirements, please send your cover letter with resume to email@example.com with the subject line “Securities Suitability Specialist” to be considered.