Language Fluency: English (Required)

Work Shift:

Please review the following job description:

ESSENTIAL DUTIES AND RESPONSIBILITIES:

Following is a summary of the essential functions for this job. Other duties may be performed both major and minor which are not mentioned below. Specific activities may change from time to time.

• Engage in risk management activities with the line of business proactively identifying existing and emerging risks through the daytoday supervisory reviews that are performed.
• Supervisory responsibility for Broker Dealer trading activity.
• Provide oversight and support for open risk audit and regulatory issues.
• Primary reviewer of advisor Regulation Best Interest documentation as it pertains to solicited transactions and trigger events assigned for review by the Central Supervision Group.
• Perform a holistic view of overall transaction and escalate complex matters to Team Lead manager and/or Regional Sales Management. Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy.
• Implement and enforce internal compliance related procedures training and identification of potential harmful trends sales practice patterns conflicts of interest or issues that potentially pose a risk to the firm.
• Provide risk management support and oversight for change activities (both business and regulatory change). This would be accomplished in providing regular updates and communication with advisors Regional Sales Managers Team Lead and Business Partners to keep abreast of observations trends and policy oversights.
• Participate in meetings and calls representing the Supervision Team when discussing Policies Products Systems and other items that impact the department and our processes.
• Work alongside the GCO Risk Program team in executing and supporting all risk program activities as defined in policy.
• Build and maintain relationship to enhance the supporting advisors overall business strategy and experience.
• Key contributor for the quarterly supervisory observations report which provides a detailed summary of the advisor activities trends and issues identified by the Centralized Supervision Group for each Region.
• Other activities and special projects as deemed required.

Qualifications

Required Qualifications:

The requirements listed below are representative of the knowledge skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

• Bachelors degree in Accounting Business Finance or related field or equivalent education and related training.
• Three to Six years of experience in a financial or other institution with emphasis on risk management or equivalent work experience and training.
• Understanding of SOX and other industryrelated regulatory requirements.
• Knowledge of operational and other nonfinancial risks.
• Ability and willingness to learn and adapt to change and competing priorities.
• Strong written and verbal skills.
• Uses judgment but close supervision is required for most tasks.
• Demonstrated proficiency in basic computer applications such as Microsoft Office software products.
• Ability to travel occasionally overnight.

Preferred Qualifications:

• Masters degree in finance or business or equivalent education and related training.
• FINRA Series 4 7 24 53 and 66 licenses (Series 9 &10 can be used in lieu of 53 Series 63 & 65 can be used in lieu of Series 66. ***Life/Health and Variable Insurance Licensing are strongly preferred***
• 68 years related retail brokerage and/or investment advisory experience with an emphasis in Supervision/Compliance.
• Employee should have a thorough knowledge of retail brokerage and investment advisory industry rules regulations and operations.
• Familiar with SEC Marketing Rule and FINRA Communication with the Public Rule 2210.
• Strong knowledge in field of assigned business unit(s).
• Must have exceptional industry disciplinary history.
• Strong written and verbal communication skills with demonstrated ability present ideas effectively to a group.
• Solid problemsolving skills in complex environments.
• Ability to influence change and handle multiple projects concurrently.
• Excellent time management and organizational skills with the ability to operate without close supervision on daytoday decisions
• Exceptional relationship management skills and ability to build rapport with advisors sales management and product managers.
• Sound investigative skills and ability to follow up and manage cases.