Job Description

Job Summary:
The Trade Review team conducts daily reviews of trading activity and periodic supervisory alerts primarily using Supervisory Center. Senior Advisors within this team should have specialized training to analyze various supervision sales practices and trading reviews to proactively detect trends, trading patterns, and possible rule violations. Understands and ensures adherence to securities industry regulations and limit firm liability. Responsible for the review and resolution of daily and periodic alerts using the firm's supervisory review system and other ancillary reviews.

Effectively communicates and partners with managers and advisors on sensitive issues and manages conflict in line with the firm's culture and strategy. Determines suitability of client branch activity based upon regulatory rules and regulations and policies.

May train and mentor new or less experienced team members. Works independently on challenging assignments that are broad in nature, requiring originality, and ingenuity and provides comprehensive solutions to complex problems. Leads defined work or projects of moderate scope and complexity.

Remote work option for registered financial services professionals with supervision or compliance trade review experience and possessing appropriate licensure.

Essential Duties and Responsibilities:
Monitors the sales practice activities of branch managers and Financial Advisors (FAs) through the use of various reports and systems
Conducts independent Supervision reviews and monitors trading activities through the use of various reports and systems. Adjusts existing programs, policies and procedures, as directed.
Identifies and advises client branches of irregularities; determines the suitability of client branch activity
Pro-actively monitors and ensures that trading activities in clients' accounts meet the objectives of those accounts. Reports findings and manages concerns professionally and educationally.
Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may arise with branch office managers/ FAs and work together with them to address these concerns as well as to resolve any conflicts that may arise related to client accounts
Monitors and keeps up to date with regulations regarding trading activity in client accounts and applies them accordingly.
Interprets, applies and recommends changes to organizational policies and procedures.
Assists in researching Supervision issues and in alerting management to current regulatory 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.
Performs other duties and responsibilities as assigned and gives guidance to less experienced Supervision associates within the team.

Qualifications

Knowledge, Skills, and Abilities:
Knowledge of:
Fundamental investment concepts, practices and procedures used in the securities industry
Principles of banking and finance and securities industry operations
Investments and trading, securities industry regulations, and client suitability (all at a level consistent with Series 9/10 licensing). Familiarity/facility with RJ and its systems is preferable.
Concepts, practices and procedures of the securities industry and/or banking compliance, including suitability and other compliance issues involved with retail activity
Company's working structure, policies, mission, and strategies
General office practices, procedures, and methods
Suitability and other Supervision 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, and databases
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
Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently
Critical thinking and decision- making, involving the interpretation of regulatory rules and policies
Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels
Work effectively with Financial Advisors as their sales supervisor and enforce company policies and procedures as necessary
Establish and communicate clear directions and priorities
Provide a high level of customer service

Educational/Previous Experience Requirements:
Bachelor's degree (B.A) in a related discipline and a minimum of five (5) years of experience in Supervision and/or the financial services industry.

~or~
An equivalent combination of experience, education, and/or training.

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, 9, 10 and 63
o Series 24, 53, and 4 can be used instead of the 9 and 10
o Series 66 can be obtained instead of 63