Senior Advisor – Supervision – Onboarding

Senior Advisor – Supervision – Onboarding

Requirements

• Knowledge of recruiting, onboarding, and registration processes for registered persons.
• Knowledge of the company’s working structure, policies, mission, and strategies.
• Knowledge of general office practices, procedures, and methods.
• Knowledge of concepts, practices and procedures of securities industry and/or banking compliance, including suitability and other compliance issues involved with retail activity.
• Knowledge of principles of banking, finance, and securities industry operations.
• Knowledge of 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 use of DocuSign and Raymond James Box or other equivalent platforms.
• Skill in operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
• Skill in detail orientation to ensure the regulatory liability is limited, without impairing workflow.
• Skill in utilizing business-appropriate phone manners.
• Ability to organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently.
• Ability to independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.
• Ability to analyze risk to ensure that all issues are properly vetted and escalated as appropriate.
• Ability to use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels.
• Ability to work effectively with Financial Advisors.
• Ability to establish and communicate clear directions and priorities.
• Ability to provide a high level of customer service.

Responsibilities

• Provide onboarding documentation to prospective Advisors and other registered persons.
• Obtain and review completed onboarding documentation while providing guidance on any identified issues that arise during the review process.
• Disseminates information and documentation to Regional Management and Registrations through firm systems.
• Pro-actively ensures compliance with applicable industry rules (i.e. State, FINRA & SEC) and platform policies and procedures as they apply to the onboarding process.
• Interfaces with specific business platforms and supervision associates to inform them of any supervisory concerns that may arise during the review process and work together with them to address and resolve these concerns.
• Monitors and keeps up to date with securities/advisory regulations and applies them accordingly.
• Interprets, applies and recommends changes to organizational policies and procedures.
• May consult independently with branch managers and recommend actions to ensure compliance with existing rules and regulations as well as prevent potential liability.
• Continually evaluates procedures and provides suggestions and recommendations on how to improve current processes.
• Reviews and updates policies and procedures related to the onboarding process.
• Performs other duties and responsibilities as assigned.

Preferred Qualifications

• 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.
• An equivalent combination of experience, education, and/or training.
• 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 and 24.
• Series 9 and 10 can be obtained instead of 24.
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.