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Advisor, Supervision- Advertisement Review

Advisor, Supervision- Advertisement Review

Denver StaffingDenver, CO, US
Hace 1 día
Tipo de contrato
  • A tiempo completo
Descripción del trabajo

Job Posting

Our ideal contributor will :

  • Serve as a trusted business partner to our Financial Advisor teams by providing expertise with financial services related supervision and compliance issues.
  • Have confidence in making recommendations based on research and analysis conducted by the Supervision Advisor.
  • Maintain frequent contact and establish positive relationships with our field offices, via phone and email, through reactive and proactive measures.
  • Act as the go-to supervision partner for technical issues, ongoing training, and all supervision related questions and concerns from the investment teams as well as internal support departments.
  • Series 7, Series 65 / 66 & Series 24 Licenses required.

Essential Duties and Responsibilities :

  • Conducts review of advertising material to ensure compliance with applicable industry rules (i.e. State, FINRA, & SEC) and firm policies and procedures.
  • Researches compliance & supervision issues with respect to advertising material.
  • 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). Familiarity / facility with RJ and its systems is preferable.
  • Company's working structure, policies, mission, and strategies.
  • General office practices, procedures, and methods.
  • Suitability and other compliance issues involved with branch manager / FA trading activity.

    • Skill in :

  • Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases.
  • Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.
  • Detail orientation to ensure the regulatory liability is limited, without impairing workflow.
  • Utilizing business-appropriate phone manners.

    • Ability to :

  • Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.
  • Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers / FAs.
  • Establish and communicate clear directions and priorities.
  • 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.
  • 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 66. Series 65 and 63 can be obtained instead of 66.
  • Additional licenses / certifications demonstrating the candidate's knowledge / expertise in industry regulation and concepts preferred.
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    Supervision • Denver, CO, US

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