The Director of Supervision supports the Managing Partner in shaping the culture of compliance in the office. You’ll support the team in implementing the supervision strategy and risk management approach for the office. You’ll prioritize effectively and will work within a team to accomplish network office goals. You’ll evaluate situational risk, make decisions, and build relationships effectively. Finally, you’ll bring an enthusiasm for new ways of working, an eye for efficiency, and an ability to motivate others.

Duties of the role include the following:

• Perform delegated supervisory functions and tasks for the network office including review and supervision of escalated issues, including, but not limited to, flagged email and social media correspondence, transaction/trend supervision, and compliance monitoring systems
• Complete on-site inspections, client file reviews, and compliance-related interviews of financial advisors and their teams
• Maintain books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA
• Develops trusting relationships to consult and advise financial advisors and their teams related to risk management, regulatory change, policies and procedures, and documentation requirements
• Develop, implement, and document supervisory plans to address sales practice concerns and non-standard behavior
• Help set the strategic direction of the network office compliance program to influence and support the culture of the network office
• Conduct training with financial advisors and their teams on compliance, regulatory, or related topics.
• Maintain detailed and timely documentation to evidence supervision
• Partner with network office leadership to manage risk across the network while supporting the growth of the firm

Knowledge, Skills, Abilities:

• Active and valid FINRA Series 7, 9/10 and 63 or the ability to obtain within 3 months
• Active and valid FINRA Series 7, 24, 4, 53, and 63 may be considered in lieu of S7, 9/10, and 63
• Active Life/Health licenses, or the ability to obtain within 3 months
• 3-5 years of industry experience with an emphasis in compliance/supervision
• Strong working knowledge of standard industry and regulatory policies and procedures
• Sound decision-making skills that rely on a combination of analysis, experience, and judgment to arrive at a conclusion or recommendation
• Ability to prioritize workload and seek support when appropriate, as well as work within a larger team
• Experience navigating situations and conversations that are highly sensitive and confidential in nature

What makes you a great fit for this team?

• Orientation toward working independently with minimal guidance
• Highly evolved communication and presentation skills across audiences and mediums
• Collaborates with other leaders and integrates compliance into network office priorities
• Skilled in listening, partnering, and advocating
• Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills
• Adapts quickly to the impacts of the evolving regulatory environment
• Strong relationship management skills with ability to adapt approach to different people
• Ability to adapt quickly to the impacts of regulatory changes, environmental factors, or other miscellaneous policy or process changes