This position works directly with Financial Advising teams and regulators to help perform the supervision functions as part of the firm’s overall supervision responsibility. This position will also be responsible for the management of branch support personnel.

Licensing/Regulatory/Educational Requirements:

  • Series 7 and 66 (or equivalent) required
  • Series 9/10 and/or 24 required within 90 days of start date
  • Life and Health insurance licenses required or within 90 days of start date
  • Bachelor’s Degree and/or equivalent work experience
  • 3-5 years of experience in the securities industry (preferably in compliance and/or supervision)
  • Preferred working knowledge of FINRA, SEC, MSRB, ERISA rules and regulations

Skills:

  • Strong written and verbal communication skills
  • Ability to make, explain, and drive sound and fact based decisions
  • Capable of managing direct personnel including all facets of people management
  • Aptitude to work autonomously and as part of a team
  • Ability to communicate at all levels of the organization
  • Proficient using computers and Microsoft programs such as Outlook, Excel, Word, etc.
  • Preferred experience using financial software tools (Docupace, Salesforce, MoneyGuide Pro)

Duties:

  • Suitability review of new business (Securities, Insurance products, Financial planning docs, etc.)
  • Review of Communications including email and incoming/outgoing correspondence
  • Review of Advertising and Marketing materials
  • Branch audits and Client contact as required
  • Identify, escalate, and implement increased supervision/oversight as required
  • Follow up with Financial Advisors and support teams on review findings
  • Create and deploy individual and company-wide training programs as required
  • Data gathering for response to regulatory inquiries as needed
  • Travel up to 30% within USA (branch audits, conferences, corporate events, etc.)
  • Manage Branch office support staff (employee reviews, compensation/benefits discussions, hiring and terminations, etc.)
  • Track and control branch office support staff levels to meet demands of the Financial Advisors and company for the respective branches
For consideration, please forward your cover letter and resume outlining your experiences and licenses to: [email protected]