Wealth Management Supervision Officer

Wedbush Securities•Los Angeles, CA

8d•$89,000 - $118,000

About The Position

Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth. We have an immediate need for a Supervisory Officer with extensive knowledge of FINRA and SEC regulations.

Requirements

Bachelor's Degree, preferably in related field
Must have Series 7 and 24 Licenses
Knowledge and understanding of SEC, FINRA, MSRB and State rules and regulations
Knowledge and experience supervising trading activities
Strong analytical, problem-solving, and critical-thinking skills
Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint)
Organized and able to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiency
Strong verbal and written communication skills
Ability to work in a constant state of alertness and safe manner

Nice To Haves

Prefer to have Series 4 and 53

Responsibilities

Provides operational and supervisory support to branches
Reviews all documents from branches that require one-up approval to ensure in compliance and in good standing before submitting for approval and/or processing
Manage queues of alert-based supervisory flags and works with the branches and branch leadership to address identified risks
Compiles and reports trend based analysis of product usage and risk factors for assigned product areas
Conducts marketing material review such as presentations, social media use, email campaigns and others.
Assists with Compliance testing for assigned risk/product areas
Audits and reviews Division level managers' emails via Purview
Collects and audits Manager's Monthly reports for all W2 branches
Ensures Managers are complying with documentation requirements for Financial Advisors
Performs other duties as required and assigned

Benefits

Comprehensive medical, dental, and vision coverage with multiple health plan options for you and your family
Health Savings Account with company-sponsored contributions
Flexible Spending Accounts (FSA) traditional and dependent care
Pre-Tax Commuter Benefits
401(k) plan with discretionary, competitive company matching and profit-sharing contributions
Tuition reimbursement up to $5,250/year
3 weeks of Paid Time Off
2 weeks of Paid Sick Time (may vary by location)
10 Paid Holidays
Charitable Donation Matching Contributions
Paid Leave (Parental Bonding, Military, Jury Duty, Volunteer Time Off, Disability, etc.)
FINRA License Sponsorship
Travel & Employee Assistance and Employee Discount Programs