Associate Director of Office Supervision
The Associate Director of Supervision supports the Managing Partner (and the Director of Network Office Supervision) in shaping the culture of compliance in the office. You’ll support the Director and MP in implementing the supervision strategy and risk management approach for the office. You’ll prioritize effectively and will work within a team to accomplish network office goals. You’ll evaluate situation risk, make decisions, and build relationships effectively. Finally, you’ll bring an enthusiasm for new ways of working, an eye for efficiency, and an ability to motivate others.
Duties of the role include the following:
· Active and valid FINRA Series SIE, 7
o Additional required licenses below. However, while all required licenses are preferred, we are open to candidates who are not currently licensed with the all required series listed below. Consideration will be based on being willing and able to obtain the necessary licenses within a specified timeframe upon hire, this will be a condition of employment.
· Active and valid FINRA Series 63 or 66.
· Active and valid FINRA Series 24, 4, 53, or 9/10 registrations.
- Active Life/Health licenses, or the ability to obtain within 1 month.
- Perform review and supervision of multiple systems, including, but not limited to, flagged email and social media correspondence, transaction/trend supervision, and compliance monitoring systems.
- Assist in completing on-site inspections, client file reviews, and compliance related interviews of Financial Representatives and their staff.
- Help maintain books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA.
- Support Financial Representatives and field staff, related to risk management, regulatory change, policies and procedures, and documentation requirements.
- Support supervisory plans put in place to address non-standard behavior or to address sales practice concerns.
- Support the direction of the Local Network Office compliance program.
- 1-5 years of industry experience.
- Strong relationship management skills.
- Skilled in listening, partnering, and advocating.
- Ability to evaluate problems and make decisions quickly based on risk.
- Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills.
- Ability to prioritize workload and seek support when appropriate, as well as work within a larger team.
- Strong written and oral communication skills.
- Experience handling highly sensitive communications.
What makes you a great fit for our team?
- Orientation toward working independently with minimal guidance.
- Collaborates with other leaders and integrates compliance into network office priorities.
- Skilled in listening, partnering, and advocating.
- Relationship management skills with ability to adapt approach to different people.
- Ability to adapt quickly to the impacts of regulatory changes, environmental factors, or other miscellaneous policy or process changes.
Job Type: Full-time
Pay: $100,000.00 per year
Benefits:
- Retirement Plan with company match
- Dental insurance
- Health insurance
- Paid time off
- Vision insurance
Physical Setting: Office
Schedule: Monday to Friday
License/Certification: Series 24 (Preferred)
Ability to Commute: Phoenix, AZ 85016 (Required)
Ability to Relocate: Phoenix, AZ 85016: Relocate before starting work (Required)
Work Location: In person
Job Type: Full-time
Pay: From $100,000.00 per year
Benefits:
- Dental insurance
- Health insurance
- Paid time off
- Retirement plan
- Vision insurance
License/Certification:
- Series 7 (Required)
- Securities Industry Essentials (Required)
Work Location: In person
