Role:
The Associate Manager of Compliance Supervision supports the Managing Partner and Director of Supervision in shaping the culture of compliance in the office. This role supports implementing the supervision strategy and risk management policies for the Network office.
Responsibilities:
Associate Manager of Compliance Supervision:
- 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
- Promote strong culture of compliance
- Premier Audit Results: Support DoS to maintain low or minimal HPM risk assessment score
- Help to streamline and deliver compliance training and procedures to Network Office
Requirements:
- Active and valid FINRA Series 7, 9/10 and 63 registrations.
- Active and valid FINRA Series 7, 24, 4, 53, and 63 may be considered in lieu of S7, 9/10, and 63
- Active Life/Health licenses, or the ability to obtain within 3 months
- Bachelors Degree
Compensation:
$110,000 base salary + bonus