Senior Supervision Officer

About The Role

We’re looking for an engaging and knowledgeable professional with deep expertise in securities industry rules and regulations. In this role, you’ll oversee the daily activity of Financial Advisors and Private Wealth Management (PWM) branch associates in accordance with our firm’s written supervisory procedures, helping ensure a strong culture of compliance, accountability, and client-first decision making. You’ll build trusted relationships with PWM Branch Managers and Corporate Resource Groups (CRG), serving as a key partner.

Responsibilities

• Leverage tools and expertise to identify, escalate, resolve, and follow up on issues and frequently identified patterns of behavior that required additional research and surveillance.
• Thoroughly investigate, document, and timely resolve issues, enforcing the firm’s written supervisory policies and procedures.
• Continually assess policies and procedures to identify improvement opportunities and work with the Compliance and other CRG Departments to enhance them.
• Act as the primary point of contact on more complex and sensitive issues and escalations from assigned Branch Managers.
• Proactively educate field associates and policies & procedures in the areas of Compliance & Supervision.
• Work as a partner to the field by helping advisors and branch teams navigate supervisory requirements in a practical, solutions-oriented way that supports the business while maintaining firm and regulatory standards.
• Travel to assigned PWM branches to handle escalations from PWM Supervision Officers regarding complex and sensitive issues.
• Drive continuous improvement through the utilization of compliance desktop tools and identifying and implementing changes to policy, procedures, systems, and processes as issues are identified.
• Participate in or lead projects as required.

Requirements

• A minimum of 5 years of experience in brokerage/investment advisor compliance, supervision, and/or operations roles.
• FINRA SIE, Series 7, 9, 10, and 66 registrations (or equivalent) and life/health license.
• Expert knowledge of the laws, regulations, products, and ethical standards of the securities industry.
• Superior oral and written communication skills and experience resolving sensitive issues with composure and a partnership mindset.
• Demonstrated problem-solving skills and ability to drive changes to policy, procedures, systems, and processes as issues are identified.
• Proven ability to work in a geographically dispersed organization.
• A positive attitude, enthusiasm for working in compliance and a regulated environment.
• A bachelor’s degree in Business, Finance, or Accounting or equivalent combination of work experience and schooling is required.