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Advisor, Supervision - Communications Review

Advisor, Supervision - Communications Review

Denver StaffingDenver, CO, US
1 day ago
Job type
  • Full-time
Job description

Job Title

Essential Duties and Responsibilities :

  • Conducts supervision review of communications, through the use of various reports and systems.
  • Interfaces with divisional leadership to inform them of any supervisory concerns that may arise with branch office managers / FAs and works together with them to address these concerns as well as to resolve any conflicts that may arise.
  • Monitors and keeps up to date with regulations regarding communications and applies them accordingly.
  • Assists in researching Supervision issues.
  • Assists in developing training programs, including maintaining training records and coordinating training with functions.
  • Prepares and delivers written and oral presentations to business units.
  • May participate in the formation of policies related to compliance.
  • Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities :

  • Knowledge of : Investments and trading, securities industry regulations, and client suitability (all at a level consistent with the requirement of Series 24 licensing).
  • Knowledge of : Company's working structure, policies, mission, and strategies.
  • Knowledge of : General office practices, procedures, and methods.
  • Skill in : Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases.
  • Skill in : Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.
  • Skill in : Detail orientation to ensure the regulatory liability is limited, without impairing workflow.
  • Skill in : Utilizing business-appropriate phone manners.
  • Ability to : Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.
  • Ability to : Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers / FAs.
  • Ability to : Establish and communicate clear directions and priorities.
  • Ability to : Provide a high level of customer service.

    • Educational / Previous Experience Recommendations :

  • Bachelor's degree (B.A) in a related discipline and a minimum of two (2) years of experience in Supervision and / or the financial services industry.
  • Or any equivalent combination of experience, education, and / or training approved by Human Resources.

    • Licenses / Certifications :

  • Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
  • SIE required provided that an exemption or grandfathering cannot be applied.
  • Required to have a Series 7, 24 and 65, 63. Series 66 can be obtained instead of 63 / 65.
  • Additional licenses / certifications demonstrating the candidate's knowledge / expertise in industry regulation and concepts preferred.
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