Associate Director of Supervision

Greater Chicago•Skokie, IL

4d•Onsite

About The Position

The Associate Director of Supervision helps shape a culture of compliance and supports the Supervision team in meeting the firm's needs. This role supervises financial representatives and their employees to ensure that insurance and securities sales practices comply with applicable laws, regulations, and company rules. Candidates must already hold the specified Series licenses to perform the role. The position is based in person in Skokie, Illinois, and requires relocation before starting work.

Requirements

Must already hold Series SIE, Series 7, and Series 63 or 66 licenses.
Ability to obtain an Illinois Life & Health license and Series 9 and Series 10 within 90 days of starting work.
Proficiency in Microsoft Word, Excel, and PowerPoint.
Ability to maintain confidentiality.
Strong oral and written communication skills, including the ability to clearly present information.
Good listening skills and a customer- and team-focused approach.
Ability to multitask; action-oriented personality.
Ability to solve problems and take action while exercising judgment and a realistic understanding of core issues; able to use reason, review facts, and weigh options.
Ability to maintain high quality standards despite pressing deadlines.
Strong organizational skills and attention to detail.
Ability to think on one's feet and adapt to a fast-paced, changing environment, with strong emotional intelligence.
One year of financial services experience.
Must relocate to Skokie, IL 60077 before starting work.

Responsibilities

Evaluate risk, interpret policies, and make decisions.
Maintain and enforce written procedures designed to achieve compliance with applicable laws, regulations, and industry standards.
Oversee supervision systems and serve as a Supervision delegate to execute supervisory tasks.
Conduct compliance reviews of Financial Representatives.
Maintain books and records for Offices of Supervisory Jurisdiction, Registered Branch Offices, and other field locations as required by FINRA.
Support Financial Representatives and staff with risk management, regulatory changes, policies and procedures, and documentation requirements.
Build and maintain strong relationships across the firm.
Investigate customer complaints promptly.