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Works directly with Managing Partners, Directors of Network Office Supervision (DNOS) and Financial Representatives to provide consulting support on supervisory policies, systems and procedures. Supervises investment and insurance business and activity, in a collaborative team environment, to ensure compliance with firm policies and industry regulations. Partners with our field force daily to help them grow their business the right way.
Primary duties & responsibilities:
- Perform supervision of multiple of the following types of activity and manage case workloads: transaction monitoring flags, new accounts, middle-office operations, PPA/PX plans, securities correspondence, email messages, social media posts/messages, and life insurance suitability supplements
- Provide service and consulting to and communicate with FRs and field staff as appropriate, including fielding phone queue calls
- Communicate, partner, and build relationships with field supervisors and individuals in other areas of home office as appropriate
- Participate in project work within and potentially outside of Centralized Supervision
- Perform quality assurance reviews and provide feedback to peers and/or contractors
- Act as technical resource for team members and potentially provide training and coaching to others
- eComm space - Informally manage contractors doing Tier 1 email review
- Pod Leads: Manage pod workflows, coach and mentor pod members, conduct periodic calls with field supervisors to address trends, partner with Field Engagement regional counterparts, handle complex case escalations
- Perform review and supervision of securities correspondence, flagged email and social media correspondence between financial representatives and their clients. Approve correspondence in accordance with regulatory requirements, as well as firm policies and procedures. Escalate higher risk flagged correspondence to the appropriate field supervisor for resolution.
- Perform transaction supervision using compliance monitoring systems (e.g. the Securities Monitoring and Review Tool (SMART). Work closely with a small number of small to mid-sized Network Offices and their accompanying supervisory teams to ensure appropriate monitoring and supervision is conducted in accordance with regulatory requirements, as well as firm policies and procedures.
- Plays a consultative and advisory role to the field supervisors to review and discuss opportunities for workflow improvement, training, and/or documentation within their network office. Perform suitability review and ultimate approval of newly submitted brokerage, advisory, and variable products.
- Work with supervision team in Agency to provide feedback and information on the observed trends found by the Supervision Support Team. Information provided outlines areas of concerns associated with the timeliness and/or documentation of supervisory reviews that have been unaddressed and require action to minimize business risk and ensure regulatory compliance.
- For assigned supervision and surveillance systems, provide support to the subject matter expert of the respective processes (e.g. provide feedback and support with process and procedure enhancements to help with implementation).
- Participate in the discussions related to the creation, testing and implementation of enhancements.
Knowledge, skills, & abilities:
- Bachelor's Degree in business, finance or related field and/or equivalent work experience.
- Minimum of 3 years of experience in a professional level position in insurance or financial services industries required.
- Series 7 & 24 licenses required.
- Series 9/10 preferred.
- 2 years of professional level experience in core product lines (some combination of life insurance, DI, and LTC), mutual fund, and/or general security related experience.
- Experience handling highly sensitive communications.
- Ability to work with project teams or groups assigned with task resolution or policy implementation.
- Strong analytical, as well as strong written and oral communication skills needed.
- Strong foundation on NMIS policy and procedure and regulations is needed.
- Ability to work with all levels of management within the field and home office.
- Demonstrated ability to manage multiple issues to resolution in a timely manner while maintaining good relationships with internal and field clients.
- Ability to understand both business and compliance issues and effectively communicate with both compliances and field sales associates.
This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.
Required Certifications:Series 24 - FINRA, Series 7 - FINRA, SIE - FINRA
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We are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.
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Flexible work schedules
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