Advisor, Supervision- Investment Advisory

Essential Duties and Responsibilities

• Monitors the sales practices, fiduciary and investment advisory activities of advisors and branch managers through the use of various reports and systems.
• Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may arise with advisors and branch office managers and work together with them to address these concerns as well as to resolve any conflicts that may arise related to client accounts of the advisors and branch managers.
• Monitors and keeps up to date with securities/advisory regulations and applies them accordingly.
• Interprets, applies, and recommends changes to organizational policies and procedures.
• May consult independently with advisors and branch managers and recommend actions to ensure compliance with existing rules and regulations as well as prevent potential liability.
• Uses financial data and performance indicators to propose and/or assist with establishing control mechanisms and other improvement initiatives. Identifies trends and assists with implementing corrective action as necessary.
• Performs other duties and responsibilities as assigned.

Knowledge of:

• Company’s working structure, policies, mission, and strategies.
• General office practices, procedures, and methods.
• Concepts, practices, and procedures of securities industry and/or banking compliance, including suitability and other compliance issues involved with retail activity.
• Principles of banking, finance, and securities industry operations
• Rules and regulations of the Securities Exchange Commission (SEC);
  Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies sufficient to perform the functions of this job.
• General knowledge of ERISA, DOL, Retirement Plans.

Skill in:

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
• Attention to detail to ensure regulatory liability is limited, without impairing workflow.
• Utilizing business-appropriate phone manners.

Ability to:

• Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently.
• Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.
• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels.
• Work effectively with Financial Advisors and enforce company policies and procedures as necessary.
• Establish and communicate clear directions and priorities.
• Provide a high level of customer service.

• Bachelor’s degree (B.A) in a related discipline and a minimum of two (2) years of experience in Supervision and/or the financial services industry.
• An equivalent combination of experience, education, and/or training.

• Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
• SIE required provided that an exemption or grandfathering cannot be applied.
• Required to have a Series 65
• Series 7 and 66 can be used instead of the 65
• Applicable designation or CFP can be used instead of the 65 or 66 and must be in good standing
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.