Teams at Janney Montgomery Scott LLC

Learns retail financial services, attends training, studies for required securities and insurance examinations, supports Financial Advisors with client meetings and administrative tasks, and begins developing business plans and knowledge of financial products, markets, compliance, client objectives, and risk tolerance. The trainee is expected to graduate to a Financial Advisor Associate after obtaining required registrations.

Oversees operational, administrative, and client-support functions across a financial services branch complex. Supervises, trains, hires, and evaluates support staff; coordinates workflow, compliance, documentation, account transfers, cashiering, wires, and home-office operations. Supports onboarding of financial advisors, maintains knowledge of firm systems and products, and coordinates recruiting and operational matters across branch offices.

Oversee client activities and operational compliance across a branch complex. Review account forms, correspondence, transactions, blotters, and exception reports; coordinate audits and corrective actions with Compliance, Legal, Operations, and Home Office teams. Maintain knowledge of financial products, systems, policies, and regulations. Conduct staff training, support Financial Advisor screening and onboarding, and escalate issues to the Complex Manager.