"Alerted.org

Essential Duties and Responsibilities:

+ Conducts supervision review of communications, through the use of various reports and systems.

+ Interfaces with divisional leadership to inform them of any supervisory concerns that may arise with branch office managers/FAs and works together with them to address these concerns as well as to resolve any conflicts that may arise.

+ Monitors and keeps up to date with regulations regarding communications and applies them accordingly.

+ Assists in researching Supervision issues.

+ Assists in developing training programs, including maintaining training records and coordinating training with functions.

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

+ May participate in the formation of policies related to compliance.

+ Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Knowledge of:

+ Investments and trading, securities industry regulations, and client suitability (all at a level consistent with the requirement of Series 24 licensing).

+ 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.

+ Utilizing business-appropriate phone manners.

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.

+ Establish and communicate clear directions and priorities.

+ Provide a high level of customer service.

Educational/Previous Experience Recommendations:

+ Bachelor’s degree (B.A) in a related discipline and a minimum of two (2) 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:

+ Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.

+ SIE required provided that an exemption or grandfathering cannot be applied.

+ Required to have a Series 7, 24 and 65, 63. Series 66 can be obtained instead of 63/65.

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