Associate Compliance Director (Financial Services)

Job Description

Lead Advisor, LLC is a wealth management consulting and search firm.

Overview:

As a whole, the Supervision team shapes the culture of compliance in the office. The team prioritizes effectively and will work within a team to meet the demand of the firm. The Associate Director of Supervision will supervise the activities of financial representatives and their employees with respect to laws, regulations, and Company rules related to insurance and securities sales practices. We are only currently considering candidates who are fully licensed to perform the role (see requirements). Below is a partial listing of responsibilities, followed by the requirements:

• Evaluate risk, interpret policies and make decisions
• Maintain and enforce written procedures designed to achieve compliance with applicable laws, regulations and industry standards.
• Oversee supervision systems and act as Supervision delegate to execute supervisory tasks
• Conduct compliance review of Financial Representatives
• Maintain books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA
• Support Financial Representatives and staff, related to risk management, regulatory change, policies and procedures, and documentation requirements
• Build and maintain strong relationships across the firm
• Investigate customer complaints promptly

Requirements:

• Must already hold the following Series licensing: SIE/7/63 or 66
• Ability to obtain IL Life & Health, Series 9 and Series 10 within 90 days of start
• Must be proficient in Microsoft programs (word, excel, PowerPoint).

· Ability to maintain confidentiality

· Strong oral and written communication skills required; ability to clearly present information through spoken and written word. Good listening skills are needed as well with a customer and team focus.

· Ability to multitask is required; action-oriented personality is required

· Ability to solve problems and take action in solving problems while exhibiting judgment and a realistic understanding of the core issues; able to use reason; able to review facts and weigh options

· Able to maintain high quality standards, despite pressing deadlines. Strong organizational skills needed and attention to detail

· Ability to think on your feet and adapt to a fast paced, changing environment with strong emotional intelligence skills.

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