Pursue Your Passion with Purpose

Job Title

Supervise financial advisors, registered representatives, and registered branches within assigned regions to ensure compliance with securities, insurance industry regulations, and firm policies.

Conduct comprehensive trade reviews and new account approvals to ensure compliance with industry rules and firm policy.

Review regional and centralized surveillance alerts and reports to identify patterns, trends, or potential sales practice concerns regarding advisor activity.

Diagnose, raise, and process compliance escalations requiring principal review and approval at the regional level.

Serve as a Subject Matter Expert (SME) across multiple approved products to handle Level 2 reviews and complex compliance cases.

Deliver proactive training, coaching, and mentoring to registered representatives and financial advisors on investment practices, policies, and documentation.

Lead trend analysis, coordinate complaint resolutions, and execute branch or hub compliance audits.

Initiate supervision-related projects, update standard operating procedures, and manage heightened responsibilities across assigned territories.

Collaborate closely with internal business partners, including Legal, Compliance, Risk, Product, Operations, and Sales Management, to resolve legal matters, complex inquiries, complaints, and trade reviews.

Drive process improvement solutions across the supervision department and participate in ongoing department and firm-wide initiatives.

Support business objectives and contribute to profitability by influencing advisor business practices to minimize regulatory risk, financial risk, and protect firm reputation.

Use critical thinking and decision-making skills to execute supervisory responsibilities in a timely, proper, and appropriate manner.

Drive team leadership by managing the training, onboarding, and mentorship of new team members and financial advisors.

Required Qualifications, Skills & Education:

• Bachelor's degree from an university combined with 5 to 7 years of direct industry experience (mid-senior level) is typically required or comparable combination of education, job-specific certifications, and experience (including military service) will be considered in lieu of a degree.
• Management experience is not required.

Required Licensing (FINRA):

• Series 7 General Securities Representative registration.
• Series 24 General Securities Principal registration (or Series 9/10).
• Series 66 Uniform Combined State Law registration (or a combination of Series 63 and Series 65).
• Note: If holding a Series 24 only, Series 4 and Series 53 registrations are highly preferred.

Core Competencies & Values:

• Accuracy and Attention to Detail: Exceptional precision in executing supervisory tasks.
• Data Gathering and Reporting: Ability to pull and analyze compliance metrics effectively.
• Decision Making and Critical Thinking: Strong capability to diagnose and escalate complex issues.
• Effective Communications: Clear and precise sharing of regulatory standards and feedback.
• Flexibility and Adaptability: Ability to manage multiple shifting priorities in a dynamic financial environment.
• Industry & Product Knowledge: Broad familiarity with financial services products and the regulatory environment.
• Customer Focused: Leveraging customer needs and satisfaction data to create customized solutions aligned with business decisions.
• Managing Risk: Assessing and effectively managing all risks to support the company's Enterprise Risk Management Framework and promote risk awareness.