Hard Skills
AdvancedRegulatory Compliance OversightMonitoring and ensuring that registered representatives adhere to securities laws, industry regulations, and firm policies.
IntermediateSales Performance ManagementSetting production targets, tracking transaction volumes, and providing feedback to investment dealers to achieve revenue goals.
IntermediateTalent Acquisition for Financial ServicesIdentifying, interviewing, and selecting candidates with appropriate securities licensing and industry expertise.
IntermediateContinuous Professional DevelopmentOverseeing the mandatory continuing education requirements for brokers to keep their registrations active and current.