The Assistant Director of Supervision supports the Managing Partner, CSO, and Director of Supervision in shaping the culture of compliance in the office. You’ll support the leadership 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 situation risk 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:

• Review and supervise flagged email and social media correspondence, transaction/trend supervision, and compliance monitoring systems
• Assist in completing on-site inspections, client file reviews, and compliance related interviews of Financial Representatives and their staff
• Maintain books & records and handle treasury management.
• Support Financial Representatives and field staff, related to risk management, regulatory change, policies and procedures, and documentation requirements
• Support supervisory plans put in place to address non-standard behavior or to address sales practice concerns

Knowledge, Skills, Abilities:

• Ability to obtain or Active and Valid FINRA Series 7, 9/10 and 63 registrations (Series 7, 24, 4, 53, and 63 may be considered in lieu of mentioned registrations)
• Ability to obtain or Active Life/Health licenses within one month
• 1 years of industry experience
• Strong relationship management skills
• Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills
• Ability to prioritize workload and seek support when appropriate, as well as work within a larger team
• Experience handling highly sensitive communications

Job Type: Full-time

Pay: From $50,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Life insurance
• Paid time off
• Vision insurance

Physical setting:

• Office

Schedule:

• 8 hour shift
• Day shift
• Monday to Friday

Work Location: In person