Senior Advisor, Supervision-Trade Review (Remote Option Available)
Job description
The Trade Review team conducts daily reviews of trading activity and periodic supervisory alerts primarily using Supervisory Workstation. Advisors within this team administer and analyze various supervision sales practice and trading reviews to proactively detect trends, trading patterns, and possible rules violations. Ensures adherence to securities industry regulations to protect clients, financial advisors and to limit firm liability. Responsible for the review and resolution of daily and periodic alerts using the firm’s supervisory review system and other ancillary reviews. Determines suitability of client branch activity based upon regulatory rules and regulations and policies.
Some guidance is provided to perform varied work that is somewhat difficult in nature and that requires evaluation, originality and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Leads defined work or projects of moderate scope and complexity.
Remote work option for registered financial services professionals with supervision or compliance trade review experience and possessing appropriate licensure.
Essential Duties and Responsibilities:
- Conducts independent Supervision reviews and monitors trading activities through the use of various reports and systems. Adjusts existing programs, policies and procedures, as directed.
- Identifies and advises client branches of irregularities; determines suitability of clienth activity
- Pro-actively monitors and ensures that client trading activity meets the account objectives. Reports findings and manages concerns in a professional manner
- Interfaces with sales management associates to inform them of any supervisory concerns that may arise with branch office managers/FAs and works together with them to address these concerns as well as to resolve any conflicts that may arise related to client accounts
- Monitors and keeps up to date with regulations regarding trading activity in client accounts and applies them accordingly
- Assists in researching Supervision issues and alerting management to current regulatory issues
- Assists in developing training programs, including maintaining training records and coordinating training with functions
- Prepares and delivers written and oral presentations to business units.
- May participate in the formation of policies related to compliance.
- Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
Knowledge of:
- Fundamental investment concepts, practices and procedures used in the securities industry
- Principles of banking, finance, and securities industry operations
- Investments and trading, securities industry regulations, and client suitability (all at a level consistent with the requirement of Series 9/10 licensing). Familiarity/facility with RJ and its systems is preferable.
- Company’s working structure, policies, mission, and strategies
- General office practices, procedures, and methods
- Suitability and other compliance issues involved with branch manager/FA trading activity
Skill in:
- Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases
- Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies
- Detail orientation to ensure the regulatory liability is limited, without impairing workflow
- Utilizing business-appropriate phone manners
Ability to:
- Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision
- Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers/FAs
- Establish and communicate clear directions and priorities
- Provide a high level of customer service
- Focusing on the details, while logically recognizing patterns or trends
- Gather information, identify linkages and trends and apply findings to assignments
- Interpret and apply securities and/or banking regulations and identify and recommend Supervision changes as appropriate
- Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities
- Work independently as well as collaboratively within a team environment
- Adhere to policies regarding confidentiality given the sensitivity of the information analyzed
- Establish and maintain effective working relationships at all levels of the organization
Educational/Previous Experience Recommendations:
- Bachelor’s degree (B.A) in a related discipline and a minimum of five (5) years of experience in Supervision and/or the financial services industry.
- Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications:
- Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
o Required to have a Series 7, 9, 10 and 63
o Series 24, 53 and 4 can be used instead of the 9 and 10
o Series 66 can be obtained instead of 63
- Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
We expect our associates at all levels to:
- Grow professionally and inspire others to do the same
- Work with and through others to achieve desired outcomes
- Make prompt, pragmatic choices and act with the client in mind
- Take ownership and hold themselves and others accountable for delivering results that matter
- Contribute to the continuous evolution of the firm
offroadmanagementgroup.com is the go-to platform for job seekers looking for the best job postings from around the web. With a focus on quality, the platform guarantees that all job postings are from reliable sources and are up-to-date. It also offers a variety of tools to help users find the perfect job for them, such as searching by location and filtering by industry. Furthermore, offroadmanagementgroup.com provides helpful resources like resume tips and career advice to give job seekers an edge in their search. With its commitment to quality and user-friendliness, offroadmanagementgroup.com is the ideal place to find your next job.