Field Supervision Director - Investment Advisory

About the role

The Field Supervision Department plays a critical role in achieving the Compliance Division's purpose of promoting our client's best interests and choices by partnering to improve our culture of compliance and enable the best experience for all. Our associates are our greatest asset, and the opportunity to increase our client impact is directly related to our success in attracting, retaining, and developing a talented and diverse workforce. Investment Advisory Field Supervision Directors are registered with FINRA as designated supervisory principals to enforce firm and regulatory compliance rules and policies in the firm's Investment Advisory programs. In this role, you will prevent, detect, and mitigate risk by examining fee-based transactions, identifying suitability concerns, and evaluating Branch advisory business.

Responsibilities

• Guide Branch Teams in building a successful and compliant fee-based business.
• Identify trends and patterns in branch and client advisory transactions to establish appropriate action.
• Effectively communicate choices that have firm and regulatory implications for clients, Financial Advisors, and Branch Office Administrators.
• Consultant on fee-based business to ensure compliance with industry regulations and firm policies with a focus on Investment Advisory programs.
• Influence and drive discussion regarding fee-based business with Branch Teams, Regions, and stakeholders across the firm.
• Represent the firm through direct contact with clients to discuss advisory business and confirm understanding of risks and benefits in relation to industry regulation and firm investment philosophy.

Requirements

• Series 7 license required that is currently active and held for a minimum of one year.
• Series 9, 10, 24 and 66 licenses are required or must be obtained within 4 months of hire.

Qualifications

• Insurance license
• General understanding of compliance or industry experience
• Bachelor's degree in business-related field

Pay

Associates may be eligible for bonuses and profit sharing.

Schedule

Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office four days per week.

Benefits

• Medical and prescription drug, dental, and vision coverage
• Voluntary benefits (such as accident, hospital indemnity, and critical illness)
• Short- and long-term disability, basic life, and basic AD&D coverage (provided at no cost to associates)
• 401k retirement plan
• Tax-advantaged accounts: health savings account and flexible spending account
• Ten paid holidays annually
• 15 days of vacation for new associates beginning on January 1 of each year
• Sick time and personal days
• Paid day for volunteerism
• Employee Assistance Program