Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations
Partner with peers and practices to support growth
Have responsibility to supervise the activities of representatives (e.g., financial advisors) to ensure their compliance with Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) rules and regulations, as well as federal and state laws and serve as a primary point of contact, a resource and point of escalation for the practices you supervise
Implement and monitor policies and procedures, conduct practice reviews
Provide regular reporting to Governance Leadership, Markets and Division to ensure that the activity complies with all regulatory and firm policies
Make decisions and resolve issues regarding compliance, supervision policies, disciplinary actions and training
Meet regularly with risk and business partners as well as serve as a primary business contact on key initiatives with Wealth, Compliance, Risk, regional management, and other home office departments

4+ years of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Successfully completed Financial Industry Regulatory Authority (FINRA) Series 66 examination (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Experience partnering with business, compliance and operational partners to address concerns, resolve complex issues and provide solutions
Ability to exercise independent judgment to identify and resolve problems
Ability to interact with all levels of employees and management across the organization and Independent Offices
Excellent verbal, written, and interpersonal communication skills
Negotiating, conflict-management, and decision-making skills
Ability to take initiative, work independently, identify opportunities, and implement change
Ability to lead projects/initiatives with high risk and complexity
Ability to manage multiple and competing priorities
4+ years of financial services industry experience
Experience in branch office supervision, compliance, broker-dealer governance, sales supervision.

Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position.
Compliance with state law registration and licensing requirements is mandatory.
Additional requirements include meeting enhanced financial fitness and criminal background standards.
Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification.
Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Senior Supervisory Specialist

Key skills