**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). + Company’s working structure, policies, mission, and strategies. + 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. + 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. + ~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.