Job Summary:
Growing, dynamic, entrepreneurial broker dealer seeking an experienced, self-motivated, outgoing Compliance Supervisor who enjoys working in a team environment while executing responsibilities independently. In particular, we are looking for someone who will report directly to the Managing Director of Supervision and play a daily role in the firm’s supervision of registered representatives. This person must be capable of providing a balance of exceptional service, flexibility and pragmatic judgment while functioning at a high level in real time to keep up with our teams.
Duties/Responsibilities:
- As a Firm Principal performs primary supervision and activity surveillance for assigned branch offices.
- Performs required supervisory functions such as advertising review, daily transaction monitoring, suitability review, utilizing the firm’s compliance vendors (such as Orion Compliance, FIS Protegent and Global Relay).
- Partners and collaborates with various departments to address needs and requests of clients and advisors.
- Escalation source for teams to help analyze situations and provide solutions while mitigating risk.
- Serves as primary regulatory contact for assigned branches and registered reps. Investigates, assists and remediates potential violations of compliance program elements.
- Assists in preparing responses to regulatory inquiries from the SEC, FINRA, and state regulators.
- Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to broker-dealers.
- Conducts employee training with respect to the compliance program.
- Special projects as needed.
Required Skills/Abilities:
- Bachelor’s degree in related field preferred.
- FINRA Series 7 & 24 Licenses
- 2+ years Broker/Dealer Supervisory experience.
- Custodian experience with National Financial Services/Fidelity a plus.
- Excellent verbal and written communication skills.
- Excellent interpersonal and customer service skills.
- Proficient in Microsoft Office Suite or related software.
- Excellent organizational skills and attention to detail.
- Strong understanding of the Broker Dealer supervision as well as a thorough knowledge of relevant SEC, FINRA, SEC and State securities laws.
- Ability to analyze situations for compliance and business risk and implement solutions to address and mitigate such risk.
- Ability to work independently and multi-task.
- Ability to communicate with highest level of management internally and externally.
