Director of Supervision, Risk, & Compliance

About Us:For over 165 years, we have helped our clients spend their lives living through comprehensive and innovative financial planning. We combine the expertise of our financial professionals with personalized digital experience and industry-leading products to give our clients the ability to successfully navigate their financial lives.Our tailored approach includes multiple financial strategies"”insurance, investments, and annuities"”built to reinforce each other, keeping our clients consistently on track to meet goal after goal. We lead with unmatched financial strength and access to the best products and services for our clients.Our Financial Representatives are valued partners and proud business owners. As such, they are considered independent contractors for income tax purposes, and a statutory employee for Federal Insurance Contributions Act (FICA) tax purposes.As a company, we value an inclusive and belonging workplace where everyone's unique viewpoints bring new successes. We strive to create teams that reflect our customers and communities, fostering an environment where all employees are welcomed, valued, and heard.Overview:The Director of Supervision supports the Managing Partner in shaping the culture of compliance in the office. You'll be responsible for developing the supervision strategy and risk management approach for the office. You'll be a member of the leadership team and will be a trusted compliance advisor to representatives within the office. You'll draw from personal experiences to inform your work, evaluate risk, and anticipate needs of the office. Finally, you'll bring an enthusiasm for new ways of working, an eye for efficiency, and an ability to motivate and lead others.Responsibilities:Perform review and supervision of multiple systems, including, but not limited to, flagged email and social media correspondence, transaction/trend supervision, NCI, and compliance other monitoring systemsComplete on-site inspections, client file reviews, and compliance related interviews of Financial Representatives and their staff. Travel required to other branch offices and OFH locations.Maintain books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRAProvide a consultative and advisory role to Financial Representatives and field staff, related to risk management, regulatory change, policies and procedures, and documentation requirementsDevelop supervisory plans to address non-standard behavior or to address sales practice concernsHelp set the strategic direction of the Local Network Office compliance programTrain Financial Representatives and staff on compliance, regulatory, or related topicsQualifications:Active and valid FINRA Series 7, 9/10 and 63 registrations are requiredActive and valid FINRA Series 7, 24, 4, 53, and 63 may be considered in lieu of S7, 9/10, and 63Active Life/Health licenses, or the ability to obtain within 3 months.5+ years of industry experience with an emphasis in compliance/supervisionStrong working knowledge of standard industry and regulatory policies and proceduresSound decision-making skills; ability to use a mixture of analysis, experience, and judgment to arrive at a conclusion or recommendationAbility to identify issues, trends, and potential sales practices issues with the purpose of escalating or addressing themHighly 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 skillsExperience handling highly sensitive communications

Created: 2025-01-07