Associate Director of Supervision

What will you do in this role? 

The Associate Director of Supervision supports the Managing Partner (and/or the Director of Supervision/Chief Supervision Officer) in shaping the culture of compliance in the office. You’ll support the Director/Chief/MP in implementing the supervision strategy and risk management approach for the office. You’ll prioritize effectively and will work within a team to accomplish network office goals. You’ll evaluate situation risk, make decisions, and build relationships effectively. Finally, you’ll bring an enthusiasm for new ways of working, an eye for
efficiency, and an ability to motivate others. 

Duties of the role include the following: 

• Perform review and supervision of multiple systems, including, but not limited to, flagged email and social media correspondence, transaction/trend supervision, and compliance monitoring systems 

• Assist in completing on-site inspections, client file reviews, and compliance related interviews of Financial Representatives and their staff 

• Help maintain books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA 

• Support Financial Representatives and field staff, related to risk management, regulatory change, policies and procedures, and documentation requirements  

• Support supervisory plans put in place to address non-standard behavior or to address sales practice concerns 

• Support the direction of the Local Network Office compliance program 
  

Knowledge, Skills, Abilities:  

• Active and valid FINRA Series 7 

• Active and valid Series 9/10 registrations, or the ability to obtain within 6
  months 

• Active Life, Health, and Long-Term Care insurance licenses, or the ability to obtain within 2 months 

• Active and valid FINRA Series 24, 4, and 53 may be considered in lieu of 9/10 

• 3+ years of industry experience
   

• Ability to adapt quickly to the impacts of regulatory changes, environmental factors, or other miscellaneous policy or process changes 

• Strong relationship management skills 

• Skilled in listening, partnering, and advocating 

• Ability to evaluate problems and make decisions quickly based on risk  

• Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills. 

• Ability to prioritize workload and seek support when appropriate, as well as work within a larger team. 

• Strong written and oral communication skills 

• Experience handling highly sensitive communications
   

• Ability to navigate conflict resolution and difficult conversations  

What makes you a great fit for our team? 

• Orientation toward working independently with minimal guidance
   

• Collaborates with other leaders and integrates compliance into network office priorities 

• Skilled in listening, partnering, and advocating  

• Relationship management skills with ability to adapt approach to different people