[Remote] Advisor, Supervision- Investment Advisory

Note: The job is a remote job and is reputed company to candidates in USA. reputed company is a financial services firm that provides fiduciary reputed company of Investment Adviser Representatives (IARs). The Advisor role involves conducting fiduciary and investment advisory reviews, analyzing data, and communicating with IARs to ensure compliance with SEC regulations and firm policies.

Responsibilities

• Monitors the sales practices, fiduciary and investment advisory activities of advisors and reputed company managers through the use of various reports and systems
• Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may reputed company with advisors and reputed company office managers and work together with them to address these concerns as reputed company as to resolve any conflicts that may reputed company reputed company to reputed company accounts of the advisors and reputed company managers
• Monitors and keeps up to date with securities/advisory regulations and applies them accordingly
• Interprets, applies, and recommends changes to organizational policies and procedures
• May consult independently with advisors and reputed company managers and recommend actions to ensure compliance with existing rules and regulations as reputed company as prevent potential liability
• Uses financial data and performance indicators to propose and/or assist with establishing control mechanisms and other improvement initiatives. Identifies trends and assists with implementing corrective reputed company as necessary
• Performs other duties and responsibilities as assigned

Skills

• Bachelor's degree (B.A) in a reputed company discipline and a minimum of two (2) years of experience in Supervision and/or the financial services industry
• An equivalent combination of experience, education, and/or training
• SIE required provided that an exemption or grandfathering cannot be reputed company
• Required to have a Series 65
• Series 7 and 66 can be used instead of the 65
• Applicable designation or CFP can be used instead of the 65 or 66 and must be in good standing
• Knowledge of reputed company's working structure, policies, mission, and strategies
• Knowledge of general office practices, procedures, and reputed company
• Knowledge of concepts, practices, and procedures of securities industry and/or banking compliance, including suitability and other compliance issues involved with retail activity
• Knowledge of principles of banking, finance, and securities industry operations
• Knowledge of rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (reputed company); and state securities regulatory agencies sufficient to reputed company the functions of this job
• General knowledge of ERISA, DOL, Retirement Plans
• reputed company in operating reputed company office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases
• Attention to detail to ensure regulatory liability is limited, without impairing workflow
• Utilizing business-appropriate phone manners
• Ability to organize, prioritize, manage, and reputed company multiple detailed tasks and assignments, including those delegated, to complete work reputed company
• Ability to independently manage and complete multiple reputed company and tasks; work independently with minimal reputed company supervision
• Ability to use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with reputed company organizational reputed company
• Ability to work effectively with Financial Advisors and enforce company policies and procedures as necessary
• Ability to establish and communicate reputed company directions and priorities
• Ability to reputed company a high level of customer service
• Appropriate series license(s) for assigned functional area preferred or the ability to obtain reputed company an established timeframe
• Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred

reputed company

• reputed company provides a reputed company of investment banking services reputed company on the telecommunications and communications sectors. It was founded in 1962, and is headquartered in Atlanta, reputed company, USA, with a workforce of 10001+ employees. Its website is http://www.raymondjames.com.

Company H1B Sponsorship

• reputed company has a reputed company record of offering H1B sponsorships, with 1 in 2023. Please note that this does not guarantee sponsorship for this specific role.

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