Advisor, Supervision- Communications Review

Job Summary

The Communications Review Team consists of the advertising, hard copy correspondence review, social media and e-mail review teams. The advisor for this team will administer and analyze various communication reviews and content to ensure compliance with regulatory expectations and firm policies and procedures. Escalates and partners with senior advisors and management team for highly sensitive or complex issues.

Some guidance is provided to perform varied work that is somewhat difficult in nature and that requires evaluation, originality and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Leads defined work or projects of moderate scope and complexity. Maintains extensive contact with internal customers to identify, research, and resolve problems.

Essential Duties and Responsibilities

Conducts supervision review of communications, through the use of various reports and systems.

Interfaces with divisional leadership to inform them of any supervisory concerns that may arise with branch office managers / FAs and works together with them to address these concerns as well as to resolve any conflicts that may arise.

Monitors and keeps up to date with regulations regarding communications and applies them accordingly.

Assists in researching Supervision issues.

Assists in developing training programs, including maintaining training records and coordinating training with functions.

Prepares and delivers written and oral presentations to business units.

May participate in the formation of policies related to compliance.

Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of :

Investments and trading, securities industry regulations, and client suitability (all at a level consistent with the requirement of Series 24 licensing).

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

General office practices, procedures, and methods.

Skill in :

Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases.

Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.

Detail orientation to ensure the regulatory liability is limited, without impairing workflow.

Utilizing business-appropriate phone manners.

Ability to :

Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.

Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers / FAs.

Establish and communicate clear directions and priorities.

Provide a high level of customer service.

Educational / Previous Experience Recommendations

Bachelor’s degree (B.A) in a related discipline and a minimum of two (2) years of experience in Supervision and / or the financial services industry.

~or~

Any equivalent combination of experience, education, and / or training approved by Human Resources.

Licenses / Certifications

Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.

SIE required provided that an exemption or grandfathering cannot be applied.

Required to have a Series 7, 24 and 65, 63. Series 66 can be obtained instead of 63 / 65.

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

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