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Supervision Specialist
2 months ago
- Conduct ongoing review of registered investment advisors' activities, including but not limited to trading activity; suitability review; fees analysis; outside business activities; checks/securities; correspondence; gift and business entertainment logs, and electronic communications and social media posts
- Identifying suspicious patterns in daily business and swiftly provide resolution
- Ensure advisors understand policies and procedures through training and coaching
- Work with internal teams to continually refine supervisory process
- Take a proactive approach to problem solving and aim for regular process improvement
- At least 2 years of financial service experience
- Knowledge of industry rules & regulations
- Confident, professional, and articulate in written and verbal communication
- Ability to lead tough conversations with exceptional problem determination skills
- Strong organizational skills; capacity to manage heavy workload while navigating a variety of competing, ever changing priorities
- Ability to work with a high degree of accuracy in a fast pace environment
- Previous experience in compliance or supervision
- Series 7,24, ,66 or 63/65
- Amazing benefits including medical, dental, vision and 401k (with matching options)
- Generous PTO package
- Access to an on-site cafe, gym and primary care
- Continuous personal and professional development opportunities
- Recognition for hard work & exemplary performance
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