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Lead Broker Dealer Principal. Job in Charlotte, North Carolina, United States in MetLife, Inc.. Nelest.com
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Lead Broker Dealer Principal

col-narrow-left   

Job ID:

22995

Location:

Charlotte, NC 

Job function:

Consulting, Finance
col-narrow-right   

Posted:

03.10.2016

Employment Type:

Full time

Industry:

Financial
col-wide   

Title:

Lead Broker Dealer Principal

Job Description:

"At MetLife, we're leading the global transformation of an industry we've long defined. United in purpose, diverse in perspective, we're dedicated to making a difference in the lives of our customers."

MetLife, through its subsidiaries and affiliates, is a global provider of life insurance, annuities, employee benefits and asset management with operations in nearly 50 countries and leading market positions in the United States, Japan, Latin America, Asia, Europe and the Middle East. With a proven track record of financial strength and delivering on promises since 1868, the company prides itself on helping people plan for their future by protecting what matters most - their families and their achievements.

With 2014 total operating income of ~$70 billion, MetLife is ranked #42 on the Fortune 500 list and #69 on the Forbes Global 2000 list of the world's largest public companies. Globally, the company has ~65,000 employees serving approximately 100 million customers, individuals, and businesses, including 90 of the FORTUNE 100. MetLife is also one of the largest institutional investors in the US with more than $450 billion in managed assets. FORTUNE Magazine's World's Most Admired Company survey recently named MetLife #1 in the Life and Health Insurance industry.

MetLife is an ambitious company with the scale, scope and talent to lead the transformation of the insurance and employee benefits industry, driving world class standards of performance around the globe. Launched in 2012 by MetLife Chairman and CEO, Steven Kandarian, the company's enterprise strategy is based on four cornerstones: Refocus the U.S. Business, Grow Emerging Markets, Build a Global Employee Benefits Business and Drive Towards Customer Centricity and a Global Brand. Concrete actions are well underway in each of these strategic focus areas, including moving to a horizontally-integrated global operating model to help drive greater leverage of technology and operations and the more consistent application of functional priorities across global markets.

As One MetLife, the company has defined common values shared across the enterprise: Put Customers First, Be the Best, Make Things Easier, and Succeed Together. These values guide how employees operate every day and are reflected in the company's commitment to creating a world-class organizationwhich places a high value on motivational leadership, engaged talent, and customer focus. For more information on working at MetLife, please visit MetLife Careers.

Job Location

Charlotte, NC

Functional Responsibilities:

  • Highest level non-managerial individual contributor in this family, widely known for his/her subject matter expertise. Works independently

  • Acts as a mentor for other Principals on the team

  • Review and approves new account applications from broker dealer distribution channels to ensure all business, compliance, and regulatory requirements are met

  • Performs complex new account functions including review and sign off on the suitability of new accounts including switches and replacements

  • Inspects all new business cases for compliance with internal, FINRA , and SEC suitability and replacement guidelines

  • Researches and resolves calls received from Field Representatives, internal departments, and clearing houses related to escalated complaints involving case suitability

  • Documents departmental policies and procedures with management

  • Quality reviews the new accounts and account maintenance processes

  • Assists with audits and exams as necessary

  • Completes special projects as assigned

  • Processes new business transactions as necessary

  • Ability to work independently and as part of a team

  • Demonstrates ability to multi-task

  • Excellent communication and customer service skills

  • Performs other duties as required or assigned

Job Requirements:

  • 8+ years of relevant business experience in the financial services industry

  • 5+ years of suitability/principal review

  • FINRA Series 7 and 24 licenses, required

Preferred Knowledge and Skills

  • Bachelor's degreeor equivalent work experience, preferred

  • Advanced knowledge of brokerage products policies, and provisions

  • Advanced knowledge of state and federal laws and company policies regarding brokerage products

  • Expert knowledge of the company's brokerage systems

Competencies:

  • Communicates effectively, focuses on customers, problem resolution skills, organizational skills, keyboarding skills, demonstrates technical and functional expertise, detail oriented, promotes key values, and uses sound business judgment

Required Education

High School Diploma

Business Category

US Retail

Department

Broker Dealer

Job Category

Compliance

Number of Openings

1

MetLife is a proud equal opportunity/affirmative action employer committed to attracting, retaining, and maximizing the performance of a diverse and inclusive workforce. It is MetLife's policy to ensure equal employment opportunity without discrimination or harassment based on race, color, religion, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity or expression, age, disability, national origin, martial or domestic/civil partnership status, genetic information, citizenship status, uniformed service member or veteran status, or any other characteristic protected by law.

MetLife maintains a drug-free workplace.

Note to Mobile Users: If viewing on a mobile device and would like to apply, please email the job to yourself and complete the application from a desktop/laptop.

Note to Desktop/Laptop Users: For immediate consideration, click Apply Now button below. You will be directed to complete an on-line profile which takes 10 - 15 minutes to complete. Upon completion, you will receive an automated confirmation email verifying you have successfully applied to the job.

Zip Code:

28261

Company Info
MetLife, Inc.
1095, Avenue of the Americas
New York, NY, United States

Phone:
Web Site: metLife.com

Company Profile

Company Info


MetLife, Inc.
1095, Avenue of the Americas
New York, NY, United States
Phone:
Web Site: metLife.com

Lead Broker Dealer Principal

col-narrow-left   

Job ID:

22995

Location:

Charlotte, NC 

Job function:

Consulting, Finance
col-narrow-right   

Posted:

03.10.2016

Employment Type:

Full time

Industry:

Financial
col-wide   

Title:

Lead Broker Dealer Principal

Job Description:

"At MetLife, we're leading the global transformation of an industry we've long defined. United in purpose, diverse in perspective, we're dedicated to making a difference in the lives of our customers."

MetLife, through its subsidiaries and affiliates, is a global provider of life insurance, annuities, employee benefits and asset management with operations in nearly 50 countries and leading market positions in the United States, Japan, Latin America, Asia, Europe and the Middle East. With a proven track record of financial strength and delivering on promises since 1868, the company prides itself on helping people plan for their future by protecting what matters most - their families and their achievements.

With 2014 total operating income of ~$70 billion, MetLife is ranked #42 on the Fortune 500 list and #69 on the Forbes Global 2000 list of the world's largest public companies. Globally, the company has ~65,000 employees serving approximately 100 million customers, individuals, and businesses, including 90 of the FORTUNE 100. MetLife is also one of the largest institutional investors in the US with more than $450 billion in managed assets. FORTUNE Magazine's World's Most Admired Company survey recently named MetLife #1 in the Life and Health Insurance industry.

MetLife is an ambitious company with the scale, scope and talent to lead the transformation of the insurance and employee benefits industry, driving world class standards of performance around the globe. Launched in 2012 by MetLife Chairman and CEO, Steven Kandarian, the company's enterprise strategy is based on four cornerstones: Refocus the U.S. Business, Grow Emerging Markets, Build a Global Employee Benefits Business and Drive Towards Customer Centricity and a Global Brand. Concrete actions are well underway in each of these strategic focus areas, including moving to a horizontally-integrated global operating model to help drive greater leverage of technology and operations and the more consistent application of functional priorities across global markets.

As One MetLife, the company has defined common values shared across the enterprise: Put Customers First, Be the Best, Make Things Easier, and Succeed Together. These values guide how employees operate every day and are reflected in the company's commitment to creating a world-class organizationwhich places a high value on motivational leadership, engaged talent, and customer focus. For more information on working at MetLife, please visit MetLife Careers.

Job Location

Charlotte, NC

Functional Responsibilities:

  • Highest level non-managerial individual contributor in this family, widely known for his/her subject matter expertise. Works independently

  • Acts as a mentor for other Principals on the team

  • Review and approves new account applications from broker dealer distribution channels to ensure all business, compliance, and regulatory requirements are met

  • Performs complex new account functions including review and sign off on the suitability of new accounts including switches and replacements

  • Inspects all new business cases for compliance with internal, FINRA , and SEC suitability and replacement guidelines

  • Researches and resolves calls received from Field Representatives, internal departments, and clearing houses related to escalated complaints involving case suitability

  • Documents departmental policies and procedures with management

  • Quality reviews the new accounts and account maintenance processes

  • Assists with audits and exams as necessary

  • Completes special projects as assigned

  • Processes new business transactions as necessary

  • Ability to work independently and as part of a team

  • Demonstrates ability to multi-task

  • Excellent communication and customer service skills

  • Performs other duties as required or assigned

Job Requirements:

  • 8+ years of relevant business experience in the financial services industry

  • 5+ years of suitability/principal review

  • FINRA Series 7 and 24 licenses, required

Preferred Knowledge and Skills

  • Bachelor's degreeor equivalent work experience, preferred

  • Advanced knowledge of brokerage products policies, and provisions

  • Advanced knowledge of state and federal laws and company policies regarding brokerage products

  • Expert knowledge of the company's brokerage systems

Competencies:

  • Communicates effectively, focuses on customers, problem resolution skills, organizational skills, keyboarding skills, demonstrates technical and functional expertise, detail oriented, promotes key values, and uses sound business judgment

Required Education

High School Diploma

Business Category

US Retail

Department

Broker Dealer

Job Category

Compliance

Number of Openings

1

MetLife is a proud equal opportunity/affirmative action employer committed to attracting, retaining, and maximizing the performance of a diverse and inclusive workforce. It is MetLife's policy to ensure equal employment opportunity without discrimination or harassment based on race, color, religion, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity or expression, age, disability, national origin, martial or domestic/civil partnership status, genetic information, citizenship status, uniformed service member or veteran status, or any other characteristic protected by law.

MetLife maintains a drug-free workplace.

Note to Mobile Users: If viewing on a mobile device and would like to apply, please email the job to yourself and complete the application from a desktop/laptop.

Note to Desktop/Laptop Users: For immediate consideration, click Apply Now button below. You will be directed to complete an on-line profile which takes 10 - 15 minutes to complete. Upon completion, you will receive an automated confirmation email verifying you have successfully applied to the job.

Zip Code:

28261
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