Experience and Skills
* Bachelor’s degree in finance, accounting or business-related field; or a minimum of 10 years of relevant securities industry experience in supervision, compliance and/or regulatory management.
* Required industry exams: Series 7, Series 9/10 (or Series 24), Series 53, Series 4 and Series 66 (or 63/65).
* Extensive knowledge of the securities industry with an emphasis on investment advisory business practices. In-depth knowledge of complex products a plus.
* Comprehensive understanding of rules and regulations related to both registered investment advisers and broker dealers.
* Ability to apply complicated regulatory concepts to develop logical supervisory processes and facilitate business growth.
* Strong organizational skills and attention-to-detail. Ability to work with a high-degree of accuracy while handling multiple responsibilities.
* Solid technology skills (Microsoft Word, Excel, Outlook, Adobe Acrobat).
* Experience with technical supervisory systems for sales practice reviews. Envestnet and Protegent Surveillance ("ProSurv") experience a plus.
* Excellent oral and written communication, including proven facilitation and presentation skills.
* Follow policies and procedures and maintain client and Firm confidentiality.
* Ability to proactively work with both external and internal clients. Relate with others in a professional manner in order to accomplish work responsibilities and objectives.
* Ability to travel 20% of the time.
* Ability to maintain regular, predictable attendance.
* Function as investment advisory subject matter expert and strategic partner to the Director of Supervision, Director of Managed Assets, and Senior Compliance Officer-Advisory.
* Develop and oversee Wealth Management’s advisory supervision system with a focus on business development impacts to branch and regional level supervision carried out by the centralized regional supervision team and branch office managers.
* Assist with the development of advisory surveillance systems, including: creation, implementation and communication of Written Supervisory Procedures ("WSPs"); assistance with SEC Investment Advisers Act of 1940 Rule 206(4)-7 remediation; and collaboration with other business unit leaders regarding program and product level issues. This includes advanced knowledge of technology solutions such as Envestnet and ProSurv.
* Review and address items reported by Compliance and Internal Audit as part of focus reviews or internal audit reports.
* Serve as a resource with respect to recruiting and supervision of new or unique advisory or complex product business.
* Identify compliance, supervisory and other issues that may need further attention. Work with the CSO, Director of Supervision and Director of Managed Assets to resolve any issues in a timely manner.
* Stay current on industry and regulatory updates and trends, including participation in industry roundtables and conferences, as requested.
* Lead and participate in special projects and initiatives, as needed.