Provides support to the SRVP by assuming delegated responsibilities and providing other supervisory assistance as required
Maintains an ongoing positive relationship with Financial Professionals, OSJ Branch Managers and support staff in collaboration with the SRVP, Compliance, and Advisor Engagement
Engage in Supervisory Office Visits with assigned OSJ Managers to promote company supervisory practices
Monitors, reports, and enforce internal controls to ensure compliance with industry regulations and the firm’s policies and procedures
Conducts reviews based on findings that violate the firm’s current guidelines and takes appropriate corrective action as needed
Development of new OSJ branch managers and staff regarding firm policies and procedures for compliance

5+ years of financial industry experience
2+ years of related experience
FINRA Series 7, 24, 66 (or 63 / 65) are required
Required technical strength to work within the firm’s technology and Microsoft office tools
Strong understanding of relevant FINRA and SEC rules and regulations
Thorough knowledge of securities products (i.e., mutual funds, variable annuities, alternative investments, and individual securities)
Ability to effectively handle and prioritize multiple tasks in a fast-paced team environment to meet defined deadlines
Ability to travel approximately 25%

Regional Supervision Director

Key skills