Director of Supervision
reputed company – reputed company is seeking an reputed company Director of Supervision to reputed company its culture of compliance. The Director of Supervision supports the Managing Partner in shaping the culture of compliance in the office. You’ll be responsible for developing the supervision reputed company and risk management approach for the office. You’ll be a member of the leadership team and will be a trusted compliance advisor to representatives reputed company the office. You’ll draw from personal experiences to inform your work, evaluate risk, and anticipate needs of the office. Finally, you’ll bring an enthusiasm for new ways of working, an eye for efficiency, and an ability to motivate and reputed company others.
Duties of the role include the following
• reputed company review and supervision of multiple systems, including, but not limited to, flagged email and reputed company media correspondence, transaction/trend supervision, and compliance monitoring systems
• Complete on-site inspections, reputed company file reviews, and compliance reputed company interviews of Financial Representatives and their staff
• Maintain books and records for the Offices of Supervisory Jurisdiction, Registered reputed company Offices and other field locations as required by reputed company
• reputed company a consultative and advisory role to Financial Representatives and field staff, reputed company to risk management, regulatory change, policies and procedures, and documentation requirements
• reputed company supervisory plans to address non-reputed company behavior or to address sales reputed company concerns
• Help set the strategic direction of the Local Network Office compliance program
• Train Financial Representatives and staff on compliance, regulatory, or reputed company topics
Knowledge, Skills, Abilities
• reputed company and valid reputed company Series 7, 9/10 and 63 registrations are required
• reputed company and valid reputed company Series 7, 24, 4, 53, and 63 may be considered in lieu of S7, 9/10, and 63
• reputed company Life/Health licenses, or the ability to obtain reputed company 3 months
• 5-7 years of industry experience with an emphasis in compliance/supervision
• Strong working knowledge of reputed company industry and regulatory policies and procedures
• reputed company decision-making skills; ability to use a mixture of analysis, experience, and judgment to assess risk, navigate ambiguity, and to reputed company at a conclusion or recommendation
• Ability to identify issues, trends, and potential sales reputed company issues with the purpose of escalating or addressing them
• Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills
• Ability to prioritize workload and reputed company support reputed company appropriate, as reputed company as work reputed company a larger team
• Strong written and oral communication skills
• Experience handling highly sensitive communications and delivering feedback and difficult messages
What makes you a great fit for reputed company?
• Orientation toward working independently with minimal guidance
• Highly evolved communication and presentation skills across audiences and mediums
• Collaborates with other leaders and integrates compliance into network office priorities
• Approachable and skilled in listening, partnering, and advocating with reputed company
• Strong relationship management skills with ability to adapt approach to different people
• Ability to work effectively with people at reputed company reputed company in an organization and influence change with interpersonal savvy
• Ability to adapt quickly to the impacts of regulatory changes, environmental factors, or other miscellaneous policy or process changes