Supervisory Control Specialist

• Participate and consult regarding policies, procedures, controls, tools, and training
• Identify opportunities for synergies and maximize efficiencies within Integrated Brokerage
• Review and analyze controls for high-risk investment strategies and complex products
• Evaluate resources to monitor risk and guide process, process improvement, and technology enhancement changes
• Present recommendations for resolving complex analyses using current and best practices
• Gather and analyze data, identify trends, and present analysis through meaningful statistics
• Develop expertise in firm, compliance, and regulatory policies and procedures
• Collaborate with Financial Advisors, Regional and senior Management, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and various Business Units

• 2+ years of Supervisory Control, Corporate Insurance Risk, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through work experience, training, military experience, or education
• Successfully completed FINRA Series 7, 9/10, and 63, or FINRA-recognized equivalents, sufficient to qualify for immediate FINRA registration
• FINRA supervisory license required
• Ongoing FINRA licensing and state law registration and licensing requirements
• Successful completion and clearing of FINRA background screening
• Enhanced financial fitness and criminal background standards
• Compliance with outside activities and personal investing policies
• Not eligible for Visa sponsorship
• Series 66 registration must be completed within 90 or 180 days if not immediately transferable
• Ability to work in the assigned office location for at least one year from the hire date may be required
• Conflict management and decision-making skills
• Strong negotiation skills
• Intermediate Microsoft Office skills, including Word, Excel, and Outlook
• Excellent verbal, written, and interpersonal communication skills
• Ability to interact with all levels of branch associates and business units
• Strong attention to detail and accuracy skills
• Strong time management skills
• Strong research and documentation skills
• Ability to work independently while balancing multiple projects
• Ability to gather, organize, and interpret data

Demonstrates expertise in Risk Management, Compliance, and Regulatory Policies while effectively collaborating with various business units. Proficient in data analysis, process improvement, and presenting complex recommendations to enhance operational efficiencies.

• FINRA Series 7, 9/10, and 63
• FINRA Supervisory License
• Risk Management Consulting
• Supervisory Control Experience
• Intermediate Microsoft Office Skills

• Data Analysis
• Process Improvement
• Risk Monitoring
• Control Evaluation
• Statistical Analysis
• Compliance Policies
• Regulatory Procedures
• Investment Strategy Review
• Technology Enhancement
• Insurance Brokerage Experience

• Conflict Management
• Decision-Making
• Negotiation
• Attention to Detail
• Time Management
• Research Skills
• Interpersonal Communication
• Independent Work

• FINRA Series 66 Registration
• FINRA Background Screening

• Corporate Insurance Risk
• Property Insurance
• Casualty Insurance
• Investment Strategies
• Integrated Brokerage

• Microsoft Word
• Microsoft Excel
• Microsoft Outlook