Regional Supervision Director

Advisor Group•Scottsdale, AZ

32d•$93,000 - $99,000•Onsite

About The Position

The Regional Supervision Director performs the functions of a registered principal related to the supervisory duties delegated by the Supervision Regional Vice President (“SRVP”). The Regional Supervision Director supports efforts of the Supervision Regional Vice President to ensure the business is processed in accordance with firm policies and procedures.

Requirements

5+ years of financial industry experience.
2+ years of related experience.
FINRA Series 7, 24, 66 (or 63 / 65) are required.
Required technical strength to work within the firm’s technology and Microsoft office tools.
Strong understanding of relevant FINRA and SEC rules and regulations including 3110, 40 ACT, Reg BI and DOL PTE.
Thorough knowledge of securities products (i.e., mutual funds, variable annuities, alternative investments, and individual securities), compliance requirements, and the broker dealer and investment advisor industry.
Ability to effectively handle and prioritize multiple tasks in a fast-paced team environment to meet defined deadlines.
Ability to travel approximately 25%

Nice To Haves

FINRA Series 4 & 53 preferred.
Resident State Life, Health & Sickness, and Variable Annuity insurance licenses.

Responsibilities

Provides support to the SRVP by assuming delegated responsibilities and providing other supervisory assistance as required.
Maintains an ongoing positive relationship with Financial Professionals, OSJ Branch Managers and support staff in collaboration with the SRVP, Compliance, and Advisor Engagement.
Engage in Supervisory Office Visits with assigned OSJ Managers to promote company supervisory practices, follow up on branch exam findings, and proactively address potential compliance issues to minimize risk to the Financial Professional, the OSJ, and the firm.
Home office liaison and primary contact during travel of the SRVP.
Monitors, reports, and enforce internal controls to ensure compliance with industry regulations and the firm’s policies and procedures.
Assists in implementing policy and procedures for facilitating supervision of new and existing initiatives.
Identifies patterns of concerning practices.
Conducts reviews based on findings that violate the firm’s current guidelines and takes appropriate corrective action as needed in collaboration with the SRVP.
Development of new OSJ branch managers and staff regarding firm policies and procedures for compliance and conduct training on technology used for supervision.
Assist in developing and enforcing Heightened Supervision and Financial Action Plans.
Maintain records and files as outlined in the department’s policy and procedures.
Monitor, report, and enforce internal controls to ensure compliance with industry regulations and the firm’s policies and procedures.
Work on delegated and collaborative projects with the SRVP, Advisor Engagement, Legal and Compliance to include the tracking of projects to ensure completeness.
Responsible for review of Outside Business Activities, Resolution of Branch Office Deficiencies, Completion of Annual Compliance Requirements and Surveillance reviews.
Travel required as dictated by the above responsibilities.