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Description

Job Summary

Under limited supervision uses specialized knowledge and skills obtained through experience, specialized training or certification to administer and analyze various supervisory reviews to detect trends, patterns, and possible rule/policy violations to ensure adherence to securities industry regulations and limit firm liability. The associate will provide added leadership within Communications Supervision ensuring further development and alignment of various review functions. This individual will lead strategic initiatives and the formation of new procedures in response to regulatory changes, business scope changes, and overall needs for process improvement and efficiencies. Leads defined work or projects of extensive scope and complexity.

Essential Duties and Responsibilities

• Leads, mentors and supports Communications Supervision associates, providing subject matter expertise to facilitate supervisory reviews. Directly manage and develop staff, identifying training opportunities and recommend appropriate development programs.

• Performs human resources management activities including identifying performance problems, seeking guidance for remedial action, reviewing performance, as well as participating in interviewing and selecting staff.

• Plans, assigns, monitors, reviews, evaluates and leads the work of others.

• Makes reasonable risk-based assessments and decisions autonomously and in a timely manner.

• Builds trust and rapport through all interactions to deliver the right outcomes for the business; Consults independently with Advisors and Associates to recommends actions that ensure compliance with existing rules and regulations as well as prevent potential liability.

• SME to E-Comm teams, Branches, DM, DSOs, Ad Review, Home Office & IT partners

• Ensures Supervision Management and others are aware and involved in managing supervisory and risk management issues through regular meetings, reporting/metrics, and escalations.

• May participate in the formation of policies related to compliance; Develops new procedures and best practices for workflows

• Participate in recruiting, mentoring & training of new associates; lead monthly E-comm training

• Reviews escalations from other areas and determines and addresses as applicable or escalates to the DSO; Assists DSO in making calls to advisors to resolve issues/educate on procedures

• Execute on data inquiries/requests (RJ Social, Proofpoint, 3P vendors, journaling, Associate Monthly Volume assessments)

• Assist in the preparation of content/talking points for the E-Comm Working Group and Council

• May present on key topics to branches / senior management

• Complete the Monthly and quarterly metrics write-up, responses, presentations

• SharePoint ownership; E-comm workflow and E-comm template ownership

• Conduct Proofpoint detective controls for remediation avoidance (weekly look-back review, Bloomberg mapping, alternative recipient and journaling review, tracker quality control)

• Lexicon & Classifier enhancement work with IT partners, Marketing and TC

• May conduct periodic Quality Assurance Reviews and implement corrective action plans

• Assist with audit, branch exam, regulatory inquiries

• Back-up to the home off & PCG review team managers

• Monitors and keeps up to date with regulations regarding communications with the public.

• Attends conferences and regional meetings as assigned

• Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities

A proven leader who can establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.

Knowledge of

• Experience and/or knowledge of the SEC Marketing rule, Investment Advisors Act of 1940, and FINRA 2210 rules and regulations.

• Company’s working structure, policies, mission, and strategies.

• General office practices, procedures, and methods.

• Experience in branch practices and operations

• Comprehensive understanding of company policies and procedures and industry rules and regulations.

• Strong foundation in supervisory concepts, practices and procedures used in the securities industry, financial markets and financial products.

• Human resource management principles and practices.

Skill in

• A professional and pleasant demeanor to work with advisors and internal clients; utilize tact and diplomacy in dealing with employees and clients in a deadline-driven environment.

• Ability to multi-task and organize around various meetings, assisting key stakeholders in the home office, communicating with advisors, and managing the demands of a team of individuals.

• Managing a team of resources across various areas of focus

• Interviewing and selecting staff, coaching and mentoring, and identifying and delivering training needs.

• Operating standard office equipment and using required software applications to reports, electronic communication, spreadsheets, and databases (E.g., Microsoft Office).

Ability to

• Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently.

• Independently manage and complete multiple projects and tasks

• Work effectively with Financial Advisors as their sales supervisor and enforce company policies and procedures as necessary.

• Attention to detail while maintaining a big picture orientation, balancing conflicting resource and priority demands.

• Foster a cooperative work environment and partner with other functional areas to accomplish objectives.

• Keep all appropriate parties up-to-date on decisions, changes, and other relevant information.

• Articulate reasons behind decisions.

• Provide a high level of customer service.

• Quickly and with independence, become acquainted with desk procedures, historical decisions and ongoing projects and efforts within Communications.

Educational/Previous Experience Requirements

Bachelor’s degree (B.A) in a related discipline and a minimum of eight plus (6) years of experience in supervision or compliance or any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

FINRA Series 7, 24, 66 (or equivalent). Ability to obtain additional licenses within designated timeframe.

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

Travel

Travel Required: Yes, 5% of the Time

Job: Compliance

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Organization Supervision

Schedule Full-time

Job Shift Day Job

Travel Yes, 5 % of the Time

Req ID: 2300976