FINRA Supervisory Specialist Senior - Wealth Management

Locations: Birmingham, AL Jacksonville, FL Miami, FL Orlando, FL Charlotte, NC Raleigh, NC Cherry Hill, NJ Columbus, OH Bellaire, TX Dallas, TX Ann Arbor, MI Cleveland, OH Pittsburgh, PA Phoenix, AZ Bridgewater, NJ Skills and Certifications - Series 7, 24 (or 9/10), 66 (or 63 and 65), (4 and 53 preferred if only 24) Job Description Responsible for the supervision, trade review, and/or new accounts of Financial Advisors (FA) and registered branches in assigned regions to ensure compliance with securities and insurance industry rules and reg and firm policy. Review surveillance alerts and reports assigned to them on a regional or centralized level to identify patterns, trends and/or concerns in regards to FAs' sales practice activity. Review trades and/or new accounts; diagnose, raise and process escalations, as well as other items requiring principal review and approval at the regional level. Cross-trained on multiple approved products, and considered an SME expected to handle escalated Level 2 review and more complex cases. Conduct proactive training, coaching and mentoring of registered reps (RR), complete trend analysis, and engage in complaint resolution and branch/hub audits. Responsible for initiating supervision-related projects, updating procedures, and assumes heightened responsibilities within the territory and complex review for patterns and trends. Works closely with Operations, Regional Supervision, Financial Advisors, Sales Management and support staff, Compliance, Legal and Risk partners to assist with escalations, legal matters, complaints, new account approvals and daily trade review. Collaborates with various business partners including Legal, Risk, Compliance, Product and external partners, etc. to resolve complex matters. Monitors advisor and client activity, such as trade review and approval patterns and trends, complaint resolution, communications, and new accounts to ensure compliance with firm and regulatory requirements and minimize risk. Manages risk and makes sound decisions by providing coaching and guidance to Financial Advisors on policies and procedures, industry regulations, financial service products, investment practices, and documentation to promote risk awareness and a compliant environment. Supports the Firm's business objectives and contributes to the Firm's profitability by influencing Financial Advisors (FA) business practices in ways that minimize regulatory and financial risk as well as uphold the Firms' reputation. Uses critical thinking and decision-making skills to assist in the review of supervisory responsibilities by following proper procedures in adherence to applicable regulatory rules and compliance policies in a timely and appropriate manner. Identifies and leads process improvement solutions across Supervision by initiating project work, update procedures, participate in ongoing department and firm initiatives. Demonstrate leadership by driving new team member and FA training and onboarding mentorship. CLIENT Employees take pride in our reputation and to continue building upon that we expect our employees to be: Customer Focused - Knowledgeable of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions and able to leverage that information in creating customized customer solutions. Managing Risk - Assessing and effectively managing all of the risks associated with their business objectives and activities to ensure they adhere to and support CLIENT's Enterprise Risk Management Framework. Qualifications Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role. Listed below are skills, competencies, work experience, education, and required certifications/licensures needed to be successful in this position. Competencies Accuracy and Attention to Detail, Data Gathering and Reporting, Decision Making and Critical Thinking, Effective Communications, Flexibility and Adaptability, Industry Knowledge, Managing Multiple Priorities, Products and Services, Regulatory Environment - Financial Services, Risk Management, Understanding Customer Needs Work Experience Roles at this level typically require a university / college degree, with 3+ years of relevant / direct industry experience. Certifications are often desired. In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered.