The Associate Director of Supervision supports the Managing Partner and Director of Supervision in shaping the culture of compliance in the office. This role supports implementing the supervision strategy and risk management policies for the Network office.
Responsibilities:
•Perform review and supervision of multiple systems, including, but not limited to, flagged email andsocial media correspondence, transaction/trend supervision, and compliance monitoring systems
•Assist in completing on-site inspections, client file reviews, and compliance-related interviews ofFinancial Representatives and their staff
•Help maintain books and records for the Offices of Supervisory Jurisdiction, Registered BranchOffices, and other field locations as required by FINRA
•Support Financial Representatives and field staff, related to risk management, regulatory change,policies and procedures, and documentation requirements
•Support supervisory plans put in place to address non-standard behavior or to address salespractice concerns
•Support the direction of the Local Network Office compliance program
•Promote strong culture of compliance
•Premier Audit Results
•Support DoS to maintain low or minimal HPM risk assessment score
•Help to streamline and deliver compliance training and procedures to Network Office
Qualifications:
•Bachelor's degree required
•Previous supervision / compliance / risk management experience in the financial services industry required
•CA life/accident/health required
•Series 7, Series 63, and SIE required
•Series 9 and Series 10 preferred
