Job Description:

• Leadership & Team Management
• Lead, coach, and develop a team of Series 6 and Series 7 registered representatives.
• Set clear performance goals and provide ongoing feedback, mentoring, and training.
• Foster a high-performance, client-centric, and compliant culture across the team.
• Conduct regular meetings to review progress, share updates, and reinforce best practices.
• Client & Business Development
• Support representatives in developing comprehensive financial solutions for clients.
• Provide guidance on a wide range of products, including equities, bonds, mutual funds, ETFs, variable annuities, and unit investment trusts.
• Assist team members in resolving complex client needs or escalations.
• Lead efforts to achieve individual and team sales, retention, and client satisfaction goals.
   

Compliance & Oversight

• Monitor representatives’ activities to ensure compliance with all FINRA, SEC, and state regulations.
• Partner with compliance and supervisory teams to proactively manage potential risks.
• Review and approve client documentation, communications, and transactions where applicable.
• Stay current with regulatory updates and ensure team alignment with firm policies.
   

Operational & Administrative Support

• Coordinate communication and workflow between sales, compliance, and operations departments.
• Track and report team performance metrics and key operational indicators.
• Identify and implement process improvements to enhance productivity and service delivery.

• Active FINRA Series 6 and Series 7 licenses required.
• Series 24 (General Securities Principal) strongly preferred or required for supervisory responsibilities.
• Bachelor’s degree in Finance, Business Administration, or related field preferred.
• 5+ years of experience in securities, brokerage, or investment advisory roles, including at least 2 years in a leadership or supervisory capacity.
• Deep understanding of investment products, financial planning principles, and regulatory standards.
• Proven leadership, communication, and coaching abilities.
• Strong analytical and problem-solving skills, with a commitment to ethical and compliant practices.

At DXC Technology, we believe strong connections and community are key to our success. Our work model prioritizes in-person collaboration while offering flexibility to support wellbeing, productivity, individual work styles, and life circumstances. We’re committed to fostering an inclusive environment where everyone can thrive.

Recruitment fraud is a scheme in which fictitious job opportunities are offered to job seekers typically through online services, such as false websites, or through unsolicited emails claiming to be from the company. These emails may request recipients to provide personal information or to make payments as part of their illegitimate recruiting process. DXC does not make offers of employment via social media networks and DXC never asks for any money or payments from applicants at any point in the recruitment process, nor ask a job seeker to purchase IT or other equipment on our behalf. More information on employment scams is available here.