Experience and Skills
* Bachelor’s degree in finance, accounting or business related field; or relevant securities industry experience.
* Applicable industry exams: FINRA SIE, Series 7, Series 66 or 63/65, and Series 9/10 or Series 24/53/4.
* 10+ years of financial services experience with 5+ years relevant supervision or compliance experience
* Demonstrated knowledge of securities industry and its products, FINRA and SEC rules and regulations, and ability to apply to supervisory policies and procedures.
* Inquisitive and curious nature; desire and ability to stay current on changing regulatory framework.
* Demonstrated ability to make regulatory and supervisory-based decisions, find resolutions to complex problems and recommend/implement solutions.
* Strong interpersonal skills and ability to work with Director of Supervision, Regional Directors, Branch Managers, Financial Professionals (FPs), and Compliance personnel to resolve problems.
* Excellent communication skills, both oral and written, and affinity for educating others on regulations and firm procedures.
* Uses appropriate, professional language and grammar to effectively exchange ideas and information.
* Ability to adapt to and facilitate change, exercise sound judgement and maintain confidentiality of sensitive information.
* Strong organizational skills and attention to detail. Ability to work with a high degree of accuracy while handling multiple tasks.
* Proficient technology skills including Microsoft Word and Outlook. Strong Excel skills a plus.
* Ability to work independently, maintain regular, predictable attendance, and keep pace with the workload required by the job.
* Ability and willingness to travel
* Responsible for maintaining knowledge of applicable industry regulations and internal policies/processes and how to apply to everyday situations.
* Leads and acts as a primary point of contact for the regional supervision team, providing higher level reviews and guidance on escalated issues and procedures, etc.
* Conducts periodic reviews of supervisory processes to identify areas for additional education and possible procedure refinement.
* Conducts periodic account and firm-level reviews for patterns of risk or sales practice red flags, including various conflict of interest reviews, as necessary.
* Collaborate with Director of Supervision and Senior Supervisory Officer to implement new or updated supervisory policies and procedures.
* Provide ongoing education and coaching to regional supervision team on new or existing processes and policies specific to sales practice/suitability related supervision.
* Assist with remediation of issues identified in Compliance focus reviews and branch office examination reports as they relate to centralized supervision deficiencies.
* Assist with regulatory exams and requests as well as other internal investigations and reviews relative to written supervisory procedures
* Serve as a resource regarding more complex issues related to outside business activity, outside brokerage accounts and personal securities transactions disclosed through electronic attestation systems.
* Represent Regional Supervision in various meetings and initiatives.
* Conduct performance reviews of direct reports and participate in personnel discussions
* Perform any other duties and special projects, as necessary
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.