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Essential Duties and Responsibilities:

• Conducts supervisory oversight of RJFS branch office locations not currently staffed eith a licensed and qualified branch manager to ensure adherence to firm and regulatory policies and procedures.

Conducts daily supervisory reviews over advisor activities in their assigned branches with limited guidance. This includes the review of new accounts, supervisory alerts, money movement and client complaints.

Analyzes transaction activity to identify potential sales practice concerns and follow-up with appropriate individual(s) for explanations and actions.

Reviews escalations, exceptions and other requests at hand to determine needed next steps and plan for proper resolution.

Escalates supervisory concerns to division supervision or business partners and works in partnership to resolve outstanding issues.

Provides ongoing education to branch associates regarding policy and regulatory changes.

Assists HO Branch manager in managing complicated and/or escalated issues and acts as an escalation point for product COEs .

Assists in regulatory, branch exam and dispute resolution items as needed.

• Perform reviews of client accounts and documents submitted by the branch.

• Escalates concerns to senior management and may propose new policies or procedures regarding risk, adhering to compliance and operational risk controls in accordance with company and regulatory standards.

• Coordinates registrations, continuing education, licensing, etc. of branch personnel.

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

• Interprets, applies, and recommends changes to organizational policies and procedures while adhering to supervisory and operational risk controls in accordance with company and regulatory standards.

• Handles all administrative matters in the hiring/termination of FA and their transition in and out of the branches.

• Monitors Supervisory Center alerts and handles any necessary follow-up.

• Researches and resolves complex problems relating to clients’ accounts and inquiries

• Identify needs of the team and find solutions to complex issues

• Communicates with the field regarding regulatory rules and firm policy changes.

• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Knowledge of:

• Comprehensive understanding of company policies and procedures and industry rules and regulations.

• Investment concepts, practices and procedures used in the securities industry.

• Financial markets and products.

Skill in:

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

• Preparing and delivering clear, effective, and professional presentations.

• Identifying the needs of customers through effective questioning and listening techniques.

• Handling stressful situations and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.

• Projecting a professional demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.

• Employing strong critical thinking, analytical and problem-solving skills to recommend appropriate courses of action..

• Establishing and communicating clear directions and priorities.

• Utilizing strong interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel.

• Establishing and maintain a respected position of leadership to influence others and gain agreement from business partners and advisors on challenging topics.,

• Effectively organizing, managing, tracking and completing multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

• Working independently, under minimal supervision.

Educational/Previous Experience Requirements:

• Bachelor’s degree (B.A.) from four-year college or university, and a minimum of three (3) years’ experience in a financial services firm / supervision

~or~

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

Licenses/Certifications:

• Series 7, 9/10 or 24, 66 or 65/63 is Required

• Series 53, Life, Health, and Variable Annuity Insurance Licenses preferred