**Essential Duties and Responsibilities** + Pro-actively ensures compliance with applicable industry rules (i.e. State, FINRA & SEC) and platform policies and procedures as they apply to various supervision activities. + Investigates client concerns and grievances through the use of various systems and reports. + Acts as liaison between department and Divisional Management, Sales & Supervision and other parties to communicate identified concerns requiring consideration. + Contributes and leads discussions to determine the Firm’s regulatory obligations regarding U4 amendments and settlement reporting. + Monitors and keeps up to date with securities/advisory regulations and applies them accordingly. + Interprets, applies and recommends changes to organizational policies and procedures. + Coaches and mentors less experienced associates. + Prepares and delivers written and oral presentations to Management. + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities** **Knowledge of** + Company’s working structure, policies, mission, and strategies. + General office practices, procedures, and methods. + Concepts, practices and procedures of securities industry and/or banking compliance, including suitability and other compliance issues involved with retail activity. + Principles of banking, finance, and securities industry operations + Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC) sufficient to perform the functions of this job. **Skill in** + Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. + Detail orientation to ensure the regulatory liability is limited, without impairing workflow. + Utilizing business-appropriate phone manners. **Ability to** + Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently. + 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. + Work effectively with Financial Advisors as their sales supervisor and enforce company policies and procedures as necessary. + Establish and communicate clear directions and priorities. + Provide a high level of customer service. **Education/Previous Experience** + Bachelor’s degree (B.A) in a related discipline and a minimum of three (3) years of experience in Supervision and/or the financial services industry. + ~OR ~ + An equivalent combination of experience, education, and/or training. **Licenses/Certifications** + Series 7 Required + Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe. + Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.