Job Summary:

Under limited supervision, uses specialized knowledge and skills obtained through experience, specialized training or certification to detect possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Lead and support associates during functional reviews and provide advanced support to our Financial Advisor and Corporate Advisory departments, focusing specifically on the policies and procedures required by applicable regulators for advertising materials. Effectively and professionally coordinate with senior members of Supervision, other managers, and advisors in order to guide and influence decisions that mitigate risk and align with the firm’s culture and strategy.
Essential Duties and Responsibilities:

Knowledge, Skills, and Abilities:

• Company’s working structure, policies, mission, and strategies.
• General office practices, procedures, and methods.

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.

• Fundamental investment concepts, practices and procedures used in the securities industry.

• Principles of banking and finance and securities industry operations.

• Financial markets and products.

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.

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.

Educational/Previous Experience Requirements:

• Bachelor’s degree (B.A) in a related discipline and a minimum of six (6) 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:

• Series 7,24,66 license(s) for assigned functional area required.

• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred