We’re Hiring!
CoastalOne continues to grow at a rapid pace, and we are looking for qualified, ambitious team players to join our firm. Below is a list of current open positions. If you are interested in applying, please email us with your resume and contact information: HR@Coastal-One.com
We look forward to meeting you!
Director of Operations
Position Details
Reports To: Chief Operations Officer
Seeking an experienced, hands-on leader who is willing to help build and grow our firm and helping to develop and mentor existing staff and new employees. The Brokerage Operations Director will be acting as a strong partner and right hand to the COO in upholding the mission of operations, which is timely, accurate, and compliant execution. The focus will be overseeing daily operations/service with emphasis on new advisor onboarding, resulting account transitions, and establishing formal standard operating procedures/metrics.
Qualifications include:
- A positive disposition
- Adapting quickly to change
- Insightful industry perspective
- See the “big picture” of all things: personal development and operational opportunities
- Have a passion for improving the client/advisor experience
- Desire to work in a collaborative environment, melding the talents of those who got us here with those who will take us to the next level
- Ability to establish formal operational policies and procedures
- Skilled at leverage technology in an integrative fashion by building automated workflows where needed, as prioritized.
Responsibilities
- Responsible for all management aspects including recruiting, training, coaching, development, motivation, and assessment of associates
- Planning and directing team priorities and monitoring productivity
- Establishment of tactical, intermediate, and strategic performance and productivity goals for the team and individuals that promotes transparency and accountability
- Create scalable diagnostic monitoring and control for key department activities and daily tasks
- Mentor staff on problem analysis and issue resolution
- Remove roadblocks for team to ensure they are successful and provide clear cut empowerment to provide latitude for staff to provide exceptional service.
- Coordinate and conduct training for department staff as needed for new hires, process, policy, or system related topics.
- Collaborate with and evolve partner relationships to provide exceptional service to our clients and advisors.
- Ensure department adheres to the rules and regulations of the various regulatory bodies (NYSE, FINRA, and SEC).
- Participate in strategic planning and program development.
- Champion corporate change initiatives through positive, and action-oriented involvement in cross-functional projects.
- Take additional direction from the COO as required.
Skills/qualifications
- Bachelor’s degree in finance, economics, business administration, or related area or equivalent combination of education and experience preferred
- Minimum of 7-10 years of experience in the financial services industry
- Minimum 5-8 years coaching, supervising, and managing a small to mid-size team
- Familiar with a variety of Financial/Brokerage industry concepts, practices, and procedures
- Series 7 and 24 Securities License (Required)
- Series 63 may be required dependent on daily responsibilities
- Successful background check
Additional Abilities
- Action-oriented
- Ability to delegate but willingness to get involved with all aspects of the process/task
- Ability to manage multiple priorities and complex issues, assign appropriate resources, ensure quality professional work, and maintain high standards
- Analyze information, understand why things happen, and identify possible courses of action
- Effective communication and presentation skills
- Ability to attract, retain, motivate, empower, and develop team members for high performance
Disclaimer
The information of this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job, which may vary on the department or the assignment. The actual essential duties, responsibilities and qualifications may vary by department, reporting structure and other business needs. No inference should be drawn that a specific job duty, responsibility or qualification is non-essential by its absence from this description.
Compliance and Regulatory Analyst
Position Details
(Location – Philadelphia – Hybrid)
This position reports to the Chief Compliance Officer.
Responsibilities
- Assist with regulatory requests by FINRA, SEC, and state regulators
- Investigate complex issues, including but not limited to internal investigations, advisor business reviews, customer complaints, and any other regulatory issue.
- Act as a subject matter expert who reviews more complex compliance items, including solicitor agreements, regulatory filings (ADVs, Form CRS, etc.,) trade reviews, and member firm escalations
- Project manage regulatory inquiries, internal investigations, rule implementations, privacy incidents, and other matters
- Conduct due diligence on business issues that impact the overall compliance program
- Keep current with federal and state laws and regulations
- Effectively communicate regulatory requirements and policies and procedures
- Assist with updating Firms policies and procedures – Broker Dealer and RIA
- Work with management to develop communications that foster a consistent and appropriate compliance culture
- Perform other duties, as assigned
Qualifications
- Bachelor’s degree in Finance, Business Management or equivalent
- Minimum of 3 years of progressively responsible, related work experience
- Series 7 and 24 required
- Strong aptitude for understanding complex and changing security laws and regulations
- Familiarity, and preferred background, with the Investment Advisors Act of 1940; Securities Act of 1933, and Investment Company Act of 1940; FINRA and SEC rules; and state regulations
- Demonstrated ability to solve complex problems, find a resolution to those problems, and recommend corrections
- Excellent oral and written communication skills; strong attention to detail and excellent organizational skills
- Excellent presentation, training and education skills
- Well-developed interpersonal skills and the ability to establish and maintain effective working relationships with internal staff and clients
- Well-developed computer skills, including the use of MS Word, Excel, PowerPoint, Internet, and database management programs
- Proven ability to keep track of, prioritize, and report status of multiple projects
- Ability to work effectively, both independently as well as a member of a team
Positions located in the Philadelphia Metropolitan Area.
