Supervisory Compliance Director
6 days ago
About the Position:
This Compliance Field Supervisor role is responsible for overseeing branch office supervision, leveraging electronic systems and reports to monitor account and trade activity, support branch offices, and uphold regulatory and firm standards. The ideal candidate will have a strong background in compliance oversight, risk management, or supervision, with a minimum of 2 years of licensed industry experience.
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.
Benefits: We offer a comprehensive compensation package, including a competitive salary range of $80,000 - $110,000 per year, plus comprehensive benefits, opportunities for professional growth and development, and a supportive work environment.
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