Compliance Operations Manager
3 weeks ago
As a Field Compliance Supervisor at Saxony Securities, Inc., you will play a pivotal role in ensuring firm-wide compliance with industry regulations. This position involves overseeing branch office supervision, leveraging electronic systems and reports to monitor account and trade activity, and supporting branch offices in upholding regulatory and firm standards.
The ideal candidate will possess a deep understanding of financial products, supervisory systems, and firm policies. Strong conflict management, problem-solving, and independent decision-making skills are also essential for success in this role.
Salary: $80,000 - $120,000 per year (based on experience)
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 4-6 weeks of annual supervisory/audit visits to ensure high-quality supervision across branches.
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