Advisor – Supervision-Packaged Products

Advisor – Supervision-Packaged Products

Requirements

• Knowledge of investments and trading, securities industry regulations, and client suitability (all at a level consistent with the requirement of Series 9, 10, and 24 licensing)
• Familiarity/facility with RJ and its systems is preferable
• Company’s working structure, policies, mission, and strategies
• General office practices, procedures, and methods
• Suitability and other compliance issues involved with branch manager/FA trading activity
• 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
• 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
• 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
• Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe

Responsibilities

• Conducts compliance and suitability reviews, and monitors trading activities, through the use of various reports and systems
• Monitors and ensures that trading activities in clients’ accounts meet the objectives of those accounts
• Reports findings and manages concerns in a professional manner
• Interfaces with sales management associates 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 related to client accounts
• Monitors and keeps up to date with regulations regarding trading activity in client accounts 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

Preferred Qualifications

• Familiarity/facility with RJ and its systems is preferable
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred