"Alerted.org

Job Summary:

Under limited supervision, uses specialized knowledge and skills obtained through experience, specialized training or certification to detect possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Lead and support associates during functional reviews and provide advanced support to our Financial Advisor and some home office departments, focusing specifically on the policies and procedures required by applicable regulators for advertising materials in the social media space. Effectively and professionally coordinate with senior members of Supervision, other managers, our Marketing Department, and advisors in order to guide and influence decisions that mitigate risk and align with the firm’s culture and strategy.

Essential Duties and Responsibilities:

• Performs human resources management activities, including identifying/correcting performance problems and participating in interviewing and selecting staff

• Plans, assigns, monitors, reviews, evaluates, and leads the work of others.

• Coaches and mentors subordinates, identifies training needs, and recommends appropriate development

• Interfaces with Compliance, Supervision, Legal, and associates to inform them of any supervisory concerns that may arise with branch office managers/FAs and works together with them to address these concerns

• Conducts advertising reviews of Financial Advisor and certain home office associates’ material through the use of various reports and systems.

• Serve as a trusted business partner to our Financial Advisor teams and by providing expertise with regards to advertising/retail communications in the social media space.

• Assists in developing training programs

• Prepares and delivers written and oral presentations to business units.

• May participate in the formation of Supervision policies

• Acts as a mentor to new associates by sharing resources and encouraging their growth

• Takes on complex and extensive projects in coordination with Senior Management

• Develops new procedures and best practices for workflows

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Knowledge of:

• Relevant rules and regulations under FINRA 2210 and SEC Advertising Rules

• Relevant rules and regulations under the Investment Company Act of 1940 and the Investment Advisers Act of 1940

• ERISA and DOL rules and regulations

• Company’s working structure, policies, mission, and strategies.

• General office practices, procedures, and methods.

Skill in:

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases.

• Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.

• Detail orientation to ensure the regulatory liability is limited, without impairing workflow.

• Conducting social media related supervision reviews

Ability to:

• 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 including branch managers/FAs.

• Ability to review and interpret SEC No-Action Letters and FINRA Notices to members.

• Establish and communicate clear directions and priorities.

• Provide a high level of customer service.

Educational/Previous Experience Requirements:

• Bachelor’s degree (B.A) in a related discipline and a minimum of six (6) years of experience in Supervision and/or the financial services industry.

~or~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications:

• Series 7, 24, 66 license(s) for assigned functional area required, or the ability to obtain within an established timeframe.

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred