The primary responsibility of this position is to serve as a field embedded supervising principal who is responsible for supervision of WRI’s Financial Advisors.
PRIMARY DUTIES AND RESPONSIBILITIES:
Supervise financial advisors in a specified geographic region by performing the following supervisory functions:
- Conducting the annual Supervisory branch exams
- Supervise certain state licensing requirements
- Supervise OSJ Exception Supervisory Reports
- Follow up on FA completion of Firm Element, Annual Compliance Meetings, Annual Compliance certifications, required training, etc.Be the primary liaison for FA’s supervisory questions and issues
Support Home Office supervisors in the general supervision of FA’s including:
New account review approval/rejection
Trade review approval/rejection
OBA ongoing reviews
Review of NAV applications
Books and records requirements
Carry out specific reviews and oversight actions under Plan(s) of Special Supervision as delegated by the CSO
Provide firm training as defined and directed by FAD OSJ, FAD, and/or the Compliance departments.
Act as a point of contact for Compliance, Legal and FAD OSJ related to investigations and reviews.
When necessary, being onsite for regulatory branch exams and acting as a Legal emissary.
Maintain a current understanding of all company policies and procedures, as well as regulatory rules and initiatives that apply to our business.
Assist in the development and maintenance of supervisory processes to meet regulatory responsibilities.
Perform other duties and projects as assigned or that become necessary to fulfill the firm’s supervisory responsibilities and needs
REQUIREMENTS:
- Education and Experience: College degree and 7+ years of brokerage or advisory, experience, preferably in field management/supervision, compliance, or regulatory: or combined relevant education and experience.
- FINRA Registration: Series 7, 24, 63/65 (or 66) preferred or must obtain within 60 days of hire. Series 8 or 9/10 may be substituted for Series 24 with a condition of employment of obtaining the Series 24.
- Additional securities and/or insurance licenses a plus
- Must be self-starter and able to effectively carry out their duties and responsibilities without daily and direct supervision or management.
- Demonstrated knowledge of FINRA rules.
- Demonstrated knowledge and experience with SEC RIA laws and regulations.
- Prior management experience a plus.
- Strong leadership and interpersonal skills.
- Must be flexible and a strong team player.
- Strong conflict-management and problem-solving skills.
- Ease at establishing rapport, initiating conversations and working in a demanding communicative environment while maintaining a professional tone and temperament.
- Demonstrated success in organizing, planning, directing and coordinating required activities.
- Excellent written, verbal, listening and fact-finding skills.
- Ability to work with a variety of people at different levels of the organization.
- Expected travel outside the Supervisor’s primary location is anticipated to be 40%.
Required Skills
Required Experience