What will you do in this role?
The Director of Supervision supports the Managing Partner in shaping the culture of compliance in the office. You’ll be responsible for developing the supervision strategy and risk management approach for the office. You’ll be a member of the leadership team and will be a trusted compliance advisor to representatives within the office. You’ll draw from personal experiences to inform your work, evaluate risk, and anticipate needs of the office. Finally, you’ll bring an enthusiasm for new ways of working, an eye for efficiency, and an ability to motivate and lead others.
Duties of the role include the following:
- Perform review and supervision of multiple systems, including, but not limited to, flagged email and social media correspondence, transaction/trend supervision, and compliance monitoring systems
- Complete on-site inspections, client file reviews, and compliance-related interviews of Financial Representatives and their staff
- Maintain books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices, and other field locations as required by FINRA
- Provide a consultative and advisory role to Financial Representatives and field staff, related to risk management, regulatory change, policies and procedures, and documentation requirements
- Develop supervisory plans to address non-standard behavior or to address sales practice concerns
- Help set the strategic direction of the Local Network Office compliance program
- Train Financial Representatives and staff on compliance, regulatory, or related topics
Knowledge, Skills, Abilities:
- Active and valid FINRA Series 7, 9/10 and 63 registrations are required
- Active and valid FINRA Series 7, 24, 4, 53, and 63 may be considered in lieu of S7, 9/10, and 63
- Active Life/Health licenses, or the ability to obtain within 3 months.
- 5-7 years of industry experience with an emphasis on compliance/supervision
- Strong working knowledge of standard industry and regulatory policies and procedures
- Sound decision-making skills; ability to use a mixture of analysis, experience, and judgment to arrive at a conclusion or recommendation
- Ability to identify issues, trends, and potential sales practices issues with the purpose of escalating or addressing them
- Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills.
- Ability to prioritize workload and seek support when appropriate, as well as work within a larger team.
- Strong written and oral communication skills
- Experience handling highly sensitive communications
What makes you a great fit for our team?
- Orientation toward working independently with minimal guidance
- Highly evolved communication and presentation skills across audiences and mediums
- Collaborates with other leaders and integrates compliance into network office priorities
- Skilled in listening, partnering, and advocating
- Strong relationship management skills with the ability to adapt approach to different people
- Ability to adapt quickly to the impacts of regulatory changes, environmental factors, or other miscellaneous policy or process changes
Job Type: Full-time
Pay: $90,000.00 - $120,000.00 per year
Benefits:
- Dental Insurance
- Health insurance
- Paid time off
- Retirement plan
- Vision insurance
Schedule:
- Monday to Friday
Work Location: In person