Packerland Brokerage Services, a broker dealer servicing financial advisors, has added a position and is seeking a bright and talented Direct Business Principal to join our growing team. We foster an engaging and collaborative environment and focus on personal growth, education, and individual development. Our welcoming and friendly work atmosphere has resulted in an inclusive, energetic, and respectful team culture. Packerland Brokerage Services has a diverse workforce, competitive benefits, and a 28-person team that enjoys its time together inside and outside of the office.
If our Direct Business Principal role sounds like a challenge you would be interested in, we would love to meet you to discuss it in more detail.
Key Accountabilities for the role will include the following:
1. Daily processing and suitability review of representative business per FINRA regulations
2. Create and maintain Direct Business policy
3. Training representatives, staff, and OSJs on Direct Business policy, procedures, and systems
4. Must be a resource to OSJs and new representatives coming onboard to Packerland and strive to identify NIGO trends to be more efficient in suitability review
Qualifications
Education
College degree preferred but not required in lieu of experience
Experience
A minimum of three years in the securities industry
Experience in a principal capacity preferred
Licenses:
Required: Series 7
Required within 90 days of hire: Series 24 or Series 26
Preferred but not immediately required: Series 53, 66, 4
Skills
- Superior customer service skills and the ability to collaboratively work with clients, representatives, and internal/external partners to resolve inquiries and issues
- Strong relationship building skills with a focus on our clients and representatives
- Ability to make quick decisions and work effectively in a time-sensitive environment
- Direct business experience and/or call center financial services experience
- Strong oral, written communication, and interpersonal skills
- Excellent working knowledge of regulatory (SEC, FINRA) requirements
- Strong knowledge of MS Office, DocuSign, Laser App, and relational databases
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.
What we stand for: These core values are at the heart of everything we do here at Packerland. We are:
- Transparent and straightforward.
- Hardworking and dependable.
- Nimble and resourceful.
- Down to earth and customer focused.
- Reasonable and make decisions with common sense.
What we believe in:
PROMOTING INDEPENDENCE. EMPOWERING INDEPENDENTS.
At Packerland Brokerage Services, we live and breathe by this tagline. This simple statement represents our daily commitment to give our independent registered representatives choices.
Details & Benefits
Job Type
Full-time
Pay
$65,000.00 - $70,000.00
Benefits
- Simple IRA
- Simple IRA matching
- Employee assistance program
- Flexible schedule
- Flexible spending account
- Health insurance reimbursement
- Life insurance
- Paid time off
- Professional development assistance
- Referral program
- Retirement plan
Schedule
- 8-hour shift
- Day shift
- Monday through Friday
Supplemental Pay
Bonus pay
Flexible Schedule Options
Flexible schedules for staff, which include working up to 40% of the time remotely after a 60-day introductory period
Ability to Commute/Relocate
Green Bay, WI 54313: Reliably commute or plan to relocate before starting work (required)
Work location
One location
If you feel you meet these requirements, please email your resume and salary requirements to jobs@packerlandbrokerage.com with the subject line Direct Business Principal.
Job Type: Full-time
Pay: $65,000.00 - $70,000.00 per year
Benefits:
- 401(k)
- 401(k) matching
- Employee assistance program
- Flexible spending account
- Health insurance
- Life insurance
- Paid time off
- Professional development assistance
- Referral program
- Tuition reimbursement
Compensation package:
- Bonus opportunities
- Yearly bonus
Schedule:
- 8 hour shift
- Monday to Friday
Experience:
- Securities Industry: 3 years (Preferred)
License/Certification:
- Series 7 (Required)
- Series 24 (Preferred)
Ability to Commute:
- Green Bay, WI 54313 (Required)
Work Location: Hybrid remote in Green Bay, WI 54313