Central Supervision Associate

Benjamin F Edwards & Co•Clayton, MO

5d•Onsite

About The Position

The Supervision Department is a critical component of Benjamin F. Edwards mission of placing the clients’ interests first, while ensuring the firm remains in compliance with industry rules and regulations. As a Central Supervision Associate (Central Supervision team) you will partner with other supervisors and corporate divisions to proactively mitigate risk by managing activity, product oversight, escalation approvals and governance.

Requirements

Demonstrated knowledge of Rules and Regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and other Federal and State securities regulatory and banking agencies.
Ability to handle information professionally and confidentially.
Solid conflict management and decision-making skills; ability to act independently.
Ability to interact with all levels of branch associates and business units.
Ability to utilize various electronic supervisory systems and exception reports.
Excellent written, verbal, and analytical skills.
Minimum Education Required: Bachelor’s degree or equivalent work-related experience of 9 + years
Minimum Work Experience Required: 3 years Compliance or Supervision experience
Minimum Required: Series 7 and 66 at time of hire. Series 9/10 and 24, Health and Life Insurance licensing preferred and must be obtained within six months of hire.

Responsibilities

Perform centralized supervisory functions such as insurance transaction review, complex product supervision and correspondence review to ensure proper adherence to firm and industry policy.
Perform trade and account reviews for brokerage and Advisory accounts; deposits and disbursements reviews; review and approval for new accounts and account updates.
Address sensitive supervision issues with the appropriate Regional Directors, Branch Managers and Financial Advisors.
Identify supervisory areas of concern, ongoing issues, and reoccurring patterns at an employee, office, or management level and bring these to the attention of the appropriate individual(s).
Develop and document procedures and informational internal communications.
Demonstrate sound and consistent supervisory judgment based on a thorough and systematic review of information available.