Investment Advisory Supervision and Oversight Lead

Feel Good About Doing Good

The Knights of Columbus is a tax-exempt Catholic fraternal benefit society that provides financial security to members and their families through our life insurance, long-term care insurance, disability income insurance, investment and annuity products. Charity is at the core of our missions: our profits are donated to help those in need and to support our faith - $1.73B over the past ten years.

While we have many employees who are not Catholic, we follow the Church's teachings in our investment strategies and our employee benefits. As part of our religious mission, we support the pro-life cause by contributing to the March for Life and pregnancy resource centers, we oppose assisted suicide and euthanasia, we are evangelists for the Catholic faith, and we help Christians who are facing religious persecution in the Middle East. We all work together to support our two million members as they volunteer to help others in their parishes and communities around the world.

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Overview

The Investment Advisory Supervision & Oversight Lead is responsible for the operational and regulatory supervision of all Investment Advisor Representative ("IAR") accounts within the IAR Channel. This role ensures adherence to KoCAA standards, regulatory requirements, and internal policies governing advisory operations.

This role serves as a key partner to Compliance, Operations, external vendors, and field leadership. While sales supervision remains the responsibility of assigned General Agents (or GSM in California), this role is accountable for the integrity, consistency, and oversight of advisory account operations and controls.

Core Responsibilities

• Review and supervise the following activities to ensure consistency with KoCAA standards and regulatory expectations:
• New client account openings (daily)
• Model portfolio changes (monthly)
• Client annual account reviews (quarterly)
• Marketing activity logs (monthly)
• Brokerage statements and transaction activity (quarterly)
• Investigate potential trade errors and operational exceptions; document findings and make corrective recommendations.
• Participate in, and progressively lead, compliance audits in partnership with the Compliance team.
• Conduct additional supervisory reviews and operational controls as required (e.g., annual certifications, management reports, exception tracking).

• Supervise and develop Investment Supervision staff, ensuring timely execution of all supervisory activities.
• Establish, document, and refine supervisory processes and controls supporting the IAR Channel.
• Produce recurring and ad hoc reporting related to supervisory findings, trends, risks, and operational performance.

• Develop strong working relationships with internal stakeholders and external partners to support asset growth, risk mitigation, and operational excellence within the IAR Channel.
• Serve as a subject matter expert on advisory operations, proprietary investment products, and related compliance obligations.
• Maintain proficiency in required third-party systems and vendor platforms (e.g., ComplySci, SEI, Profiles Professional).
• Maintain required securities registration, including FINRA Series 65.

Skills Qualifications

Required

• Proven ability to communicate effectively with IARs nationwide and enforce supervisory and compliance standards.
• Demonstrated ability to foster collaboration while maintaining independent oversight.
• Exceptional attention to detail with a commitment to quality and accuracy.
• High ethical standards aligned with organizational values.

Preferred

• Proficiency with Microsoft Office (Excel, Word, PowerPoint).
• Strong interpersonal and customer service skills.
• Entrepreneurial mindset and comfort operating in a growing advisory environment.
• Public speaking or presentation experience.
• Direct experience working with Investment Advisor Representatives.

Education

Required

• Bachelor's degree in finance, marketing, or a related field.
• Active FINRA Series 65 license.

Preferred

• MBA or progress toward an advanced degree.
• Four or more years of related experience in advisory operations, supervision, compliance, or a comparable combination of education and experience.
• Demonstrated interest in investments, advisory services, marketing, and regulatory compliance.

Compensation

The wage range for this role takes into account a broad array of factors that are considered in making compensation decisions, including but not limited to: skill sets; experience and training; licensure and certifications; and other business and organizational needs. The range below applies as long as the work is performed in Connecticut; the Knights of Columbus reserves the right to adjust the wage range if the position is performed in another location. At the Knights of Columbus, it is not typical for an individual to be hired at or near the top of the range for their role, and compensation decisions are dependent on the facts and circumstances of each case. A reasonable estimate of the current range is $138,000 - $234,500.

Authorization to work in the United States is required.

This position is not elible for visa sponsorship.

Physical Demands

KofC Cares

Our mission is focused on family and faith, and we support our employees in seeking a balanced life.

Employee benefits include:

Time Away: 13 paid holidays per year in addition to vacation and paid sick leave, and flexible workweek schedules.

Professional Development: Certifications, designation, and tuition reimbursement.

Retirement Benefits: 401(k) retirement savings plan with matching company contributions, and cash balance retirement plans fully funded by the company.

Health and Wellness:

• Short-term disability and term life insurance fully paid for by the company;
• Up to 12 weeks of childbirth leave under STD policy.
• One week of fully paid parental leave for all new parents, including adoptive and foster parents.
• A variety of health insurance options, including premium-level family coverage and a pre-tax Health Savings Account with employer contributions. The Order's health plans do not cover abortion, sterilization, or contraception, and the Order has helped advocate for other employers who do not want to provide coverage.
• Long-term disability insurance;
• Dental insurance;
• Vision insurance;
• Health club membership reimbursement;
• Employee Assistance Program