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Supervisory principal for broker dealer firm required

Capital Services, Inc.

This is a Full-time position in San Francisco, CA posted August 10, 2019.

Boutique “private placement” broker-dealer firm based in San Francisco, CA seeks experienced Supervisory Principal.

Firm’s activities include raising capital for companies and funds, advising on M&A transactions, brokering secondary sales of private stock, and chaperoning foreign placement agents. Founded in 2003, the firm currently has about 70 reps and 15 associated foreign broker-dealers.

RESPONSIBILITIES for Supervisory Principal (Series 24 with private placement experience): Day to Day Supervision of Reps. Act as Supervisory Principal for an assigned group of approximately 20-30 registered reps and chaperoned foreign broker-dealers.Maintain “open door” for reps to reach you for guidance. Communicate politely, effectively and according to company guidelines.Review compliance forms submitted by assigned reps (e.g.

OBAs, PSTs, marketing materials, co-marketing agreements).Perform due diligence on deals submitted by reps.Perform KYC and suitability review of customers submitted by reps.Review transactions submitted by reps.Conduct office inspections and communications reviewsFile materials (OBA, PST, advertising, 5123, etc) with FINRA as necessary.

REQUIREMENTS:Self-directed high achiever, efficient at working remotely using phone and web-based applications to communicate with team.Relentless in getting to the bottom of things and uncovering all relevant details of a situation.Organizational and project management skills with orientation towards record keeping and process improvement.Technical know-how, commercial awareness and analytical skills coupled with an understanding of risk/reward dynamics.Knowledge of corporate governance including regulated practices.

Applies and complies with applicable internal and external policies.

Demonstrates strong ethics.Ability to identify issues and trends, evaluate alternatives and recommend comprehensive and innovative solutions to complex problems.Organized and process oriented, with an ability to multi-task, work under pressure, prioritize work and meet deadlines.Solid work ethic and proven professionalism and a positive attitude.Outstanding interpersonal and communication skills (both written and verbal).Strong analytical problem solving skills and detailed oriented.5+ years in investment banking / placement agent industry, including experience supervising private placement transactions.

Progressive levels of experience and responsibilities.Deep knowledge of rules and regulations of the SEC, FINRA, and other federal, state and local regulations and laws for broker dealer, AML and Privacy rules.

Particular knowledge/expertise with respect to Regulation D and FINRA Rule 2210.Series 63 and 24 required. At least one of Series 7, 22, 79, 82 also required.Experience as a supervisor with a bank-based or independent brokerage model a plusWillingness to schedule phone calls and meetings at times convenient for clients and customers around the world.A background check (including fingerprinting) will be required.

LOGISTICS:The firm is based in downtown San Francisco, where occasional meetings are held.Most of the team works remotely.

You will work from your own home office and will provide your own computer and internet access.This is an independent contractor role. No benefits will be provided, although after a year of service we would be willing to discuss moving from independent contractor to employee status.This position reports directly to the CCO.Compensation is commensurate with experience.

To apply, please email a copy of your resume and a cover letter detailing your specific experience.