"Alerted.org

Essential Duties and Responsibilities:

• Conducts compliance review of social media communications using various reports and systems. Pro-actively ensures compliance with applicable industry rules (i.e. State, FINRA & SEC) and platform policies and procedures as they apply to social media communication review.

• Communicates with associates to inform them of any social media supervisory concerns and resolves any disputes that may arise.

• Monitors and keeps up-to-date with securities/advisory regulations and applies them accordingly.

• Interprets, applies and recommends changes to organizational policies and procedures.

• Consults independently with branch managers and recommends actions to ensure compliance with existing rules and regulations as well as prevent potential liability.

• Identifies trends and assists with implementing corrective action as necessary. Proposes and/or assists with establishing control mechanisms and other improvement initiatives.

• Assists in researching supervision issues.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Knowledge of:

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC) sufficient to perform the functions of this job.

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

• General office practices, procedures, and methods.

• Concepts, practices and procedures of securities industry and/or banking compliance, including suitability and other compliance issues involved with retail activity.

• Principles of banking, finance, and securities industry operations

Skill in:

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

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

• Utilizing business-appropriate phone and email manners.

Ability to:

• Understand and apply regulatory and policy requirements when conducting reviews.

• Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently.

• Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.

• Use appropriate interpersonal skills and communicate effectively and professionally, both orally and in writing, with all organizational levels.

• Work effectively with Financial Advisors and enforce company policies and procedures as necessary.

• 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 two (2) years of experience in Supervision and/or the financial services industry.

~or~

• An equivalent combination of experience, education, and/or training.

Licenses/Certifications:

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

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

o Required to have a Series 7, 24 and 66

o Series 65 and 63 can be obtained instead of 66