Compliance Field Supervisor Lead
3 days ago
Job Summary:
We are seeking a highly skilled Compliance Field Supervisor to join our team at Saxony Securities, Inc. This role will oversee branch office supervision, leveraging electronic systems and reports to monitor account and trade activity, support branch offices, and uphold regulatory and firm standards.
Key Responsibilities:
- Advisor Support: Collaborate with Financial Advisors and branch teams to build compliant and successful practices.
- Account Oversight: Review and approve client account and trade activity, including executing commission adjustments as needed.
- Compliance Education: Coach and educate branch teams on supervisory and compliance matters, best practices, and complex client scenarios.
- Client Communication: Contact clients to discuss trade activity and confirm proper disclosures.
- Escalation Management: Identify trends or concerns in branch activity and escalate issues to the Chief Compliance Officer as necessary.
- Digital Supervision: Oversee and archive emails and social media communications.
- Complaint Handling: Investigate and report on customer complaints.
- Cross-Department Collaboration: Partner with internal business areas to enhance compliance efforts.
- Branch Audits: Conduct annual supervisory/audit visits to ensure high-quality supervision across branches.
- Additional Duties: Assist the Chief Compliance Officer with other compliance-related responsibilities as assigned.
Requirements:
- Licenses:
- Active Series 7, 63, and 24 licenses, held for at least 2 years (required).
- Series 65 or 66, and insurance licenses may be required.
- Experience:
- Minimum 2 years of licensed industry experience; experience in compliance oversight, risk management, or supervision is strongly preferred.
- Skills & Knowledge:
- Comprehensive knowledge of financial products, supervisory systems, firm policies, and industry regulations.
- Strong conflict management, problem-solving, and independent decision-making skills.
- Ability to excel in a dynamic, fast-paced environment.
- Excellent verbal and written communication skills.
- Education:
- Bachelor's degree in a business-related field is preferred but not required.
- Travel:
- Willingness to travel up to 6 weeks per year for supervisory/audit visits and occasional industry meetings or conferences.
Salary Range: $80,000 - $110,000 per year.
About Us:
Saxony Securities, Inc. is a Broker-Dealer and Registered Investment Advisor (RIA) based in St. Louis, Missouri. We empower forward-thinking financial advisors to redefine independence without sacrificing ownership or control. Our representatives harness the robust resources of a large-scale platform while preserving the autonomy and flexibility of an independent business owner. At Saxony, we offer diverse financial solutions under one roof. However, our core mission revolves around nurturing relationships and delivering unparalleled service to our valued clients.
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