About us

TCFG Wealth Management, LLC

https://www.tcfgcompanies.com

The Certus Financial Group (TCFG) is seeking a hire Supervisory Compliance Associate. This position is charged with with supervising and maintaining ongoing relationships with Registered Financial Professionals to educate, guide, and assist them with their compliance responsibilities and ensure they are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm. In addition, the position is responsible for overseeing insurance appointments and, securities registration and licensing of Financial Professionals. Duties include providing outstanding customer service to Financial Professionals through written correspondence, email, and via phone.

Responsibilities

Specific areas of responsibility include, but are not limited to:

• Provide supervisory oversight for assigned Financial Professionals as part of a supervisory team, ensuring their understanding and compliance with all firm and industry requirements through proactive communication of the firm's policies and procedures.
• Monitor and review the activities of assigned Financial Professionals, identifying and addressing potential compliance issues, suspicious patterns in sales, and business practices to minimize risk to clients and the firm.
• Conduct investigations and take appropriate corrective actions in collaboration with the internal Compliance team when necessary.
• Identify training opportunities based on Financial Professionals' needs and execute training programs to enhance their knowledge and skills.
• Actively monitor supervisory systems for assigned Financial Professionals, assist in resolving heightened transaction review issues, and make final decisions on various situations.
• Serve as a liaison between the Home Office and the field, facilitating problem-solving and effective communication.
• Assist with regulatory exams, requests, internal investigations, and reviews related to supervised Financial Professionals.
• Establish and maintain internal controls, proactively auditing processes, practices, and documents to identify and address weaknesses.
• Evaluate business activities, such as investments, to assess compliance risk and ensure adherence to regulatory requirements.
• Address concerns or questions on regulatory compliance, providing guidance and support to Financial Professionals.
• Demonstrate experience with Advisory rules, specifically Rule 206, to ensure compliance with fiduciary responsibilities.

Skills

• Knowledge of mutual funds, annuities, general securities, and other financial products required
• Ability to work in a fast-paced, demanding environment
• Strong knowledge of FINRA SEC, and state rules and regulations
• Ability to develop compliance systems and strategies for effective supervision
• Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
• Excellent oral and written communication skills
• Ability to make regulatory and supervisory-based decisions will be necessary to complete the day-to-day functions of the role and for staff support in their role as Branch Office Manager
• Proactive collaboration and service-based responses with internal departments on escalated issues and concerns is essential
• Excellent management and human relations skills
• Integrity and professional ethics
• Teamwork skills
• Attention to detail

Qualifications:

Undergraduate degree in Business, Accounting, Finance or related discipline

2 years industry experience

Licenses/Certifications Required/Preferred: Series 7, 9 and 10 (or Series 24); Series 66 (or S63 and S65) preferred

Experience with all Microsoft applications, Specifically, Excel, Word.

Systems experience a plus; Pershing Netx360, Envestnet, FMG Suite, CRD, Docupace, Redtail Global Relay, AI Insight

Job Type: Full-time

Benefits:

• 401(k)
• Dental insurance
• Health insurance
• Vision insurance

Schedule:

• Monday to Friday

Experience:

• Broker Dealer or Advisory: 2 years (Required)

License/Certification:

• Series 7 (Required)

Work Location: In person