Schlagwörter

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Job Description

The Field Supervision Department plays a critical role in achieving the Compliance Division’s mission of promoting our clients‘ best interest while helping to ensure the firm remains in compliance with industry rules and regulations. Supervisory responsibilities of the firm’s branch offices are handled by teams in this department, which are centralized in the St. Louis and Tempe home offices.

Field Supervision Directors (FSD) are registered principals with supervisory responsibility over assigned branch offices. An FSD utilizes extensive electronic processing systems and exception reports to complete the supervision of and provide support to branch offices in the areas of account and trade activity, industry regulations and firm policies.

Key Responsibilities:

* Partner with Financial Advisors and branch teams in an effort to assist them in building a successful and compliant business
* Conduct review and approval of client account and trade activity, including completing commission adjustments in client accounts when appropriate
* Coach and educate branch teams on supervisory and compliance issues, best practices, and complex client situations
* Routinely contact clients to discuss trade activity within their accounts and to ensure proper disclosures have been made
* Communicate potential concerns or supervisory issues to clients, Financial Advisors, home office associates, and industry regulators
* Identify trends and patterns in branch activity to determine if follow-up is needed and/or if a situation requires escalation to another area in Compliance
* Work in collaboration with internal business areas
* Conduct supervisory visits throughout the year (4-6 weeks per year) on a subset of branches to enhance the quality of supervision

Position Requirements

* Series 7 license required that is currently active and held for a minimum of 2 years

* Series 9, 10, 24, 66 and insurance licenses required or must be obtained within four months of hire
* Minimum 2 years of licensed industry experience is required; compliance oversight, risk management, or supervisory related experience is strongly preferred
* Required to travel 4-6 weeks per year to conduct supervisory visits, present at various regional meetings, and/or attend occasional industry meetings and conferences
* Broad knowledge of products, supervisory systems, firm policies, and industry rules and regulations
* Must demonstrate strong conflict-management, problem solving and independent decision making skills
* Ability to work in a dynamic fast paced environment
* Excellent verbal and written communication skills
* Bachelor’s degree in business-related field is preferred, but not required

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