Job Description

Job Summary:

Under limited supervision, uses specialized knowledge and skills obtained through experience, specialized training or certification to administer and analyze various reviews to detect trends, trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Approves day-to-day trading activity. May be responsible for coordinating supervision functions, developing training programs and ability to liaison between functional areas. Serves as a Technical Advisor to teams. 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 reviews and monitors various activities, through the use of multiple reports and systems.
Pro-actively monitors and ensures that trading activities in clients accounts meet the objectives of those accounts. Reports findings and manages concerns in a professional manner.
Interfaces and communicates directly with advisors and sales management associates to inform them of any supervisory concerns that may arise from their reviews to address those concerns as well as to resolve any conflicts that may arise related to client accounts.
Monitors and keeps up to date with advisory regulations.
Assists in researching Supervision, Compliance and other issues.
Assists in developing training programs, including maintaining training records and coordinating training with functions.
Prepares and delivers written and oral presentations.
Develops and writes supervisory and desktop policies.
Performs other duties and responsibilities as assigned.

Qualifications

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).
Familiarity/facility with RJ and its systems is preferable.
Companys working structure, policies, mission, and strategies.
General office practices, procedures, and methods.
Suitability and other compliance issues involved with branch manager/FA trading activity.

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:

Bachelors 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.
o SIE required provided that an exemption or grandfathering cannot be applied.
o Required to have a Series 7, 24 and 66
o Series 7 and 65 can be used instead of the 66
o Applicable designation or CFP can be used instead of the 66 and must be in good standing