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Regular or Temporary:
Regular
Language Fluency: English (Required)
Work Shift:
1st shift (United States of America)
Please review the following job description:
Purpose: Provide Leadership and Manage Supervision associates. Assist with escalated items as requested from the team and/or Management. Proactively engage partners within the firm to identify areas for improvement to processes and procedures. Ensure team is aware and understands all changes relating to compliance with industry rules, regulations as well as internal policies and procedures.
Responsibility: Perform supervisory and managerial functions that are routinely associated with those of a retail broker/dealer.
Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.
Manage a team of 4 - 10 Supervisors. Provide coaching and focused training for team as needs are identified. Perform escalated review of complex transactions identified by the Supervision Team. Electronic Correspondence/Social Media Review of direct reports and as needed in support of the department. Effectively communicate policy and procedure changes to the team. Serve as Subject Matter Expert for policy changes. Assist with focused Book of Business reviews conducted by partners within the firm. Review Reg BI advisor documentation per current policies and procedures to ensure compliance with regulation. Serve as primary escalation point of contact for Principal Managers and Business Partners with regard to Supervisory activities. Participate in meetings and calls, representing the Supervision Team when discussing Policies, Products, Systems, and other items that impact the department and our processes. Serve as Supervision representative on firm initiatives.
Required Qualifications:
The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
FINRA Series 7, 24, 53 and 66 licenses (Series 9&10 can be used in lieu of 53. Series 63&65 can be used in lieu of Series 66) Life/Health and Variable Insurance Licensing 7 years related retail brokerage and/or investment advisory experience with an emphasis in Supervision/Compliance. Must have exceptional industry disciplinary history. Strong written and verbal communication skills with demonstrated ability present ideas effectively to a group. Solid decision-making and judgment capabilities. Sound investigative skills and ability to follow up and manage cases. Employee must have a thorough knowledge of retail brokerage and investment advisory industry rules, regulations and operations. Strong organizational skills and the ability to multi-task. Strong understanding of Human Resources. Strong team building skills.
Preferred Qualifications:
Bachelor’s degree in Finance or Business. Minimum 2 years of regulatory experience FINRA Series 4 license Click to enter text. Click to enter text.
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