Advisor, Investment Advisory Supervision

** What You'll Do*
* + Conduct risk-based supervisory reviews using multiple reports, systems, and information sources to identify trends, trading patterns, potential policy concerns, and possible regulatory issues.

+ Evaluate trading activity in client accounts to determine whether it is consistent with the accounts' objectives and relevant supervisory requirements.

+ Support oversight of Independent Registered Investment Advisers and Corporate RIA-related activities, including reviews of regulatory filings, client agreements, advisory disclosures, and supervisory documentation.

+ Document review results clearly, identify matters requiring additional research or follow-up, and track remediation through completion.

+ Communicate directly with financial advisors, branch and sales management, and internal business partners regarding supervisory findings, required actions, and potential account-related concerns.

+ Research complex supervision, compliance, and advisory-related questions and recommend practical, risk-informed solutions.

+ Stay current on advisory regulations, industry developments, firm policies, and evolving supervisory expectations.

+ Maintain and enhance supervisory procedures, desktop procedures, process maps, review templates, control documentation, and evidence-of-review standards.

+ Help create consistent, repeatable, and auditable supervisory processes that strengthen the quality and effectiveness of the team's work.

+ Contribute to training initiatives by developing materials, coordinating training activities, maintaining records, and sharing technical knowledge with colleagues.

+ Prepare and deliver clear written communications, review findings, presentations, and recommendations for technical and non-technical audiences.

+ Serve as a technical resource to colleagues and business partners and provide guidance on defined supervisory processes and issues.

+ Lead or contribute to projects of moderate scope and complexity that improve supervisory practices, documentation, or operational effectiveness.

+ Perform other duties and responsibilities as assigned.

** What You'll Bring*
* ** Knowledge*
* + Working knowledge of investments, securities trading, industry regulations, and client suitability at a level consistent with Series 24 licensing expectations.

+ Knowledge of the Investment Advisers Act, Form ADV, Form CRS, IARD, advisory agreements, disclosure obligations, fiduciary considerations, custody and asset-management concepts, advisory fees and compensation disclosures, and RIA supervisory frameworks.

+ Understanding of supervisory and compliance considerations associated with financial advisor and branch-management trading activity.

+ Familiarity with organizational policies, business practices, and the interaction between supervision, compliance, operations, and client-facing functions.

+ General knowledge of office practices, procedures, and methods.

** Skills*
* + Strong critical-thinking and decision-making skills, including the ability to interpret regulatory requirements and firm policies and apply them to specific facts and circumstances.

+ Careful attention to detail, with the ability to identify inconsistencies and manage regulatory risk without unnecessarily disrupting business workflows.

+ Strong written and verbal communication skills, including the ability to explain complex or sensitive supervisory concerns clearly and professionally.

+ Effective research, analysis, documentation, and problem-solving skills.

+ Proficiency with standard office equipment and software used to create correspondence, reports, spreadsheets, presentations, databases, and electronic communications.

+ Professional and business-appropriate communication skills across phone, virtual, and written channels.

** Abilities*
* + Independently organize and complete multiple assignments while managing changing priorities and deadlines.

+ Review regulatory filings, client-facing disclosures, agreements, internal records, and supervisory evidence for accuracy, consistency, and alignment with policy and regulatory expectations.

+ Evaluate available information, recognize when additional facts are needed, and make or recommend sound decisions.

+ Communicate effectively and professionally with individuals at all organizational levels, including financial advisors, branch managers, sales management, and internal business partners.

+ Establish clear priorities and provide practical direction when coordinating reviews, follow-up, or remediation.

+ Build…