Supervisor BD/RIA (Series 7&24)

Responsibilities

• Review and enforce the firm's Written Supervisory Procedures and Compliance initiatives.
• Manage Firm’s Onboarding Training Program for compliance with new hires.
• Schedule new hire training.
• Aid in administering firm annual training and advisor attestations.
• Schedule targeted training as required.
• Foster a culture of compliance.
• Document supervisory activities.
• Review advisors purchase and sales blotter.
• Review advisors communications to (and from) clients.
• Review/report customer complaints to CCO.
• Aid in conducting Branch Exams.
• Aid in reviewing and following up with exception reports generated by Compliance which require action from supervisors.

Requirements

• Bachelor’s degree or experience equivalent.
• FINRA Series 7 and FINRA Series 24 required.
• 3 – 5 years relevant experience at RIA and BD or industry regulator.
• Working knowledge of the Investment Advisers Act, the Investment Company Act, and related regulatory requirements; application of SEC rules.
• Familiarity with RBC and Schwab back-office a plus.