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Mental Health Tech

Waddell and Reed

Mental Health Tech

Albuquerque, NM
Full Time
Paid
  • Responsibilities

    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

  • Qualifications
    • 5+ years of Typescript/JavaScript development
    • 1+ years of front-end web development with React
    • 1+ years of experience in implementing native mobile apps powered by JavaScript using React-Native
    • Understanding of mobile design and user interactions
    • Strong Agile background

     

    DESIRED SKILLS

    • 1+ years of server-side scripting with Node.js
    • Understanding of RESTfull service API.
    • Understanding of CI/CD processes