"Alerted.org

Our ideal contributor will:

+ Serve as a trusted business partner to our Financial Advisor teams by providing expertise with financial services related supervision and compliance issues.

+ Have confidence in making recommendations based on research and analysis conducted by the Supervision Advisor.

+ Maintain frequent contact and establish positive relationships with our field offices, via phone and email, through reactive and proactive measures.

+ Act as the go-to supervision partner for technical issues, ongoing training, and all supervision related questions and concerns from the investment teams as well as internal support departments.

+ Series 7, Series 65/66 & Series 24 Licenses required.

Essential Duties and Responsibilities:

+ Conducts review of advertising material to ensure compliance with applicable industry rules (i.e. State, FINRA, & SEC) and firm policies and procedures.

+ Researches compliance & supervision issues with respect to advertising material.

+ 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). Familiarity/facility with RJ and its systems is preferable.

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

• General office practices, procedures, and methods.

• Suitability and other compliance issues involved with branch manager/FA trading activity.

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 66

+ Series 65 and 63 can be obtained instead of 66

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