Senior Advisor, Branch Manager Supervisory Principal

Essential Duties and Responsibilities

• Responsible for supervisory oversight of client activity and ensures adherence to firm and regulatory policies and procedures.
• Performs reviews of client accounts and documents that are submitted on behalf of branch managers that require supervisory oversight.
• Educates branch staff associates.
• Escalates concerns to senior management and may propose new policies or procedures regarding risk; adhering to compliance and operational risk controls in accordance with company and regulatory standards.
• Reviews and analyzes supervision monitoring reports and systems for suspicious/unusual patterns and follow-up with appropriate individual(s) for explanations and actions.
• Interfaces with business platform division supervision and/or division management associates to apprise them of any supervisory concerns regarding branch offices.
• Works with division supervision and/or division management to address concerns as well as to resolve any potential conflicts that may have arisen pertaining to the client accounts of branch managers.
• Maintains awareness of securities/advisory regulations and applies them accordingly.
• Interprets, applies, and recommends changes to organizational policies and procedures while adhering to compliance and operational risk controls in accordance with company and regulatory standards.
• Communicates with the field regarding regulatory rules and firm policy changes.
• Performs other duties and responsibilities as assigned.

Qualifications

• Knowledge Of: Comprehensive understanding of company policies and procedures and industry rules and regulations; investment concepts, practices and procedures used in the securities industry; financial markets and products.
• Skills In: Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases; preparing and delivering clear, effective, and professional presentations; identifying the needs of customers through effective questioning and listening techniques; handling stressful situations and leading others in providing a high level of customer service in a calm and professional manner; projecting a professional and pleasant appearance and demeanor to work with clients; utilizing tact and diplomacy in dealing with customers in a deadline-driven environment; employing good analytical skills to be able to research and resolve problems; establishing and communicating clear directions and priorities; utilizing good interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel; establishing and maintaining a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes; effectively organizing, managing, tracking and completing multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment; working independently, under minimal supervision.
• Ability To: Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude; establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes; project a professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.
• Education/Previous Experience Requirements: Bachelor’s degree (B.A.) from four-year college or university, and a minimum of three (3) years’ experience in a financial services firm / supervision~or~an equivalent combination of experience, education, and/or training as approved by Human Resources. Series 7, 9/10 or 24, 66 or 65/63 required or the ability to obtain within an established timeframe.