Lead, coach, and mentor associates, fostering professional development, accountability, and positive associate experiences that contribute to long-term business success
Cultivate strong, trusted relationships with Financial Professionals, direct reports, and internal partners to deliver exceptional service and support compliance with industry regulations
Drive overall department effectiveness by directing operations, setting priorities, and aligning team objectives with business and competitive strategy
Develop and direct strategic initiatives related to company and departmental policies, procedures, and service standards for internal and external customers
Serve as an escalation contact and trusted resource for OSJ Supervisors, Financial Professionals, designees, and internal partners
Review and support supervision activities, including sales activity, correspondence, and documentation requirements
Identify and lead process improvement initiatives using continuous improvement methods and tools to enhance team efficiency and effectiveness
Partner across the firm on strategic projects, cross-divisional committees, and task forces as needed
Maintain accurate records, document actions for managed areas, and support budgetary processes as appropriate
Maintain a current working knowledge of industry topics, regulatory requirements, internal programs, firm policies, and departmental procedures

4+ years of Financial Professional supervision experience
4+ years of leadership experience
FINRA Series 7, 24 required
Series 4, 51 or 53 preferred; other licenses or certificates may be required as dictated by the department
Ability to travel locally within a specific geographic area, with limited overnight travel outside the area when applicable

Premium benefit package including medical, vision, dental, life and long-term disability insurance
Vacation/sick time
401K retirement plan with company matching program
Eleven paid holidays

Director, Advocacy – Supervision

Key skills