Senior Advisor, Supervision - Dispute Resolution

** What You Will Do*
* ** Dispute Resolution and Risk Management*
* + Investigate client concerns, grievances, complaints, and regulatory inquiries.

+ Analyze account activity, communications, documentation, and related records to assess potential risk and determine appropriate resolution strategies.

+ Identify potential supervisory, regulatory, litigation, and reputational risks to the firm.

+ Contribute to and lead discussions regarding regulatory reporting obligations, including Form U4 amendments and settlement reporting requirements.

+ Apply knowledge of FINRA, SEC, state regulatory requirements, and firm policies when evaluating matters and making recommendations.

+ Maintain awareness of industry developments and evolving regulatory expectations.

+ Escalate significant concerns appropriately and provide recommendations for resolution and risk mitigation.

** Partnership and Consultation*
* + Serve as a liaison between Supervision, Divisional Management, Sales & Supervision, Compliance, Legal, and other stakeholders.

+ Build productive partnerships while maintaining an objective and risk-focused perspective.

+ Communicate findings, concerns, and recommendations clearly and professionally.

+ Provide guidance regarding supervisory expectations, regulatory obligations, and firm policies.

** Leadership and Continuous Improvement*
* + Coach and mentor less experienced associates.

+ Interpret, apply, and recommend enhancements to policies, procedures, and supervisory practices.

+ Prepare and deliver written analyses, presentations, and recommendations to leadership.

+ Support special projects and departmental initiatives designed to improve efficiency, consistency, and risk management effectiveness.

+ Perform additional duties as assigned.

** Cross-Functional Support*
* + Develop working knowledge of Money Movement and Senior & At-Risk Client supervision functions.

+ Participate in cross-training opportunities across Supervision teams.

+ Assist with reviews, investigations, escalations, and special projects within Money Movement and/or SARC as business needs require.

+ Promote consistency in risk assessment and supervisory decision-making across teams.

** Experience and Education*
* + Bachelor's degree in a related discipline and a minimum of three (3) years of Supervision and/or financial services industry experience; or an equivalent combination of education, training, and experience.

+ Strong understanding of supervision, securities industry regulations, compliance, banking and financial services operations, and retail activity oversight.

+ Experience handling complex investigations, regulatory inquiries, or supervisory matters preferred.

** What Will Help You Succeed*
* + Strong analytical and investigative skills.

+ Excellent judgment and risk-assessment capabilities.

+ Ability to independently manage multiple priorities and complex assignments.

+ Strong written, verbal, and presentation skills.

+ Effective relationship-building skills across all organizational levels.

+ Ability to enforce policies and procedures while maintaining strong business partnerships.

+ Attention to detail and commitment to regulatory excellence.

+ Adaptability and willingness to expand expertise across multiple supervision disciplines.

** Required Licenses and Certifications*
* · SIE, unless an exemption or grandfathering provision applies.

· Series 7.

· Series 9 and 10;
Series 24 may be accepted in lieu of Series 9 and 10.

· Any additional securities licenses required for the assigned functional area must be obtained within the established timeframe.

· Additional licenses or certifications demonstrating relevant regulatory and industry expertise are preferred.

** How You Will Work*
* ** Investigate thoroughly:
** Gather facts, analyze information objectively, and develop well-supported conclusions.

** Protect clients and the firm:
** Identify risks and help ensure concerns are addressed consistently and appropriately.

** Collaborate broadly:
** Partner with leadership and business partners to resolve complex matters.

** Communicate with impact:
** Present findings and recommendations clearly and professionally.

** Adapt to changing priorities:
** Build expertise across multiple supervisory disciplines and support evolving business needs.

** Drive continuous improvement:
** Identify opportunities to strengthen controls, enhance processes, and improve outcomes for clients and the firm.