HOW WILL YOUR POSITION IMPACT FIRST COMMAND? 

The Supervision and Surveillance principal will manage risk for First Command through pre and post-sale suitability reviews. The individual will also provide First Command advisors support through education and training regarding suitability requirements in accordance with the Compliance Manual, Written Supervisory Procedures, FINRA, and various state and federal agencies.  The individual will review day to day business submitted by advisors that include financial plans, brokerage transactions, and insurance and annuity recommendations, investment switches and managed account recommendations while maintaining current service level agreements. The principal will determine if client recommendations and trading activity are suitable through documentation in CRM, transaction details, appropriate paperwork, and from clarifying or direct conversations with advisors in the field. The Principal will also monitor and review transactions through FIS Protegent and NetX360. The Supervision and Surveillance principal has full autonomy to approve and accept business on behalf of First Command within the firms guidelines mandated by First Command, FINRA, and various state and federal agencies.

WHAT WILL YOU BE DOING? 

• Encourages an atmosphere of service, trust and teamwork between the Supervision and Surveillance team, field force and with internal business partners
• Complete a thorough review of a client’s profile to include their risk tolerance, investment objectives, tax status and other facts and circumstances to determine suitability of a financial plan that could include insurance, annuities, managed products, mutual funds, fixed income, and other various securities products
• In depth knowledge of the Compliance Manual, Written Supervisory Procedures, Sales Approval Matrix and FINRA rules and regulations
• Review and accept as appropriate new accounts to include brokerage and managed accounts
• Coordinate with advisors, DA’s (OSJ) and their staff in the resolution and review of Protegent flags
• Monitor work queues at the beginning and intra-day to ensure service levels are being met
• Provide field force support through training and education as needed or requested
• Collaboration with the Financial Planning Consultants on financial plan reviews that require additional review, correction or the identification of a potential training need
• Timely follow up on items pending approval (NIGO) to include financial plans, investment switches, new accounts or other in-force or new business
• Monitor, review and resolve items for attention in NETX360 to include trades, new accounts and transfers
• Daily monitoring of the Supervision inbox and respond as needed
• Highly focused on the quality of pre and post-sale reviews with an emphasis on following documented procedures
• Escalate items to the Supervision and Surveillance manager as needed
• Educate advisors on unsuitable transactions/recommendations and assist in finding alternative solutions
• Identify and recommend ideas for process and procedure improvements
• Responsible for adhering to supervision guidelines mandated by First Command Financial, FINRA, and various state and federal agencies

WHAT SKILLS/QUALIFICATIONS DO YOU NEED? 

• Bachelor's Degree required in a related field (Industry experience may be considered)
• Must possess FINRA Series 7, 24, 53 and 66 licenses or be able to obtain within 90 days post-hire.
• Must be a Texas Life and Health Agent or be able to obtain within 90 days post-hire.
• Five years experience in the Financial Services Industry (Preferably as a Registered Principal)
• Extensive knowledge of compliance and regulatory requirements
• Resolves each and every piece of business processed to an acceptable outcome while maintaining exceptional quality
• Stays abreast of industry and regulatory trends relating to the approval of securities transactions
• Obtains and remains current on all required FINRA and insurance licenses.
• Successfully completes all required Continuing Education requirements within established time frames
• Maintains a positive working relationship with Advisors, District Advisors, their staff and internal business partners
• Provides input for department publications and process improvement
• Meet volume, service level agreements and quality control standards
• Contributes to a successful compliance exam

KNOWLEDGE, SKILLS, AND ABILITIES

• Must have detailed knowledge of the Written Supervisory Procedures (WSP), the Compliance Manual (CM), and the Sales Approval Matrix
• Must exhibit the ability to execute at a high level with excellent quality and contribute to a high performance team
• Must exhibit strong analytical, written and verbal communication skills for resolving problems
• Brokerage experience required
• Must encourage an atmosphere of service, trust, openness, communication and an attitude of working together to achieve mutual objectives

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Required Skills Required Experience

QUALIFICATIONS:

• Associate degree or comparable work experience required. Bachelor's degree preferred. Field of Study: Administration of Justice or similar.
• 1-3 years of experience required. 3 years + of experience preferred
• A valid driver’s license is required.
• Must be able to obtain CSO Certification, CPR and AED Certifications within three months of hire (Provided by the university). 
• Ability to understand, create, and activate policies and procedures related to security and campus safety. Ability to write clear, concise, and accurate reports. Ability to plan and manage events as well as create action plans and perform briefings. Ability to effectively communicate with large and diverse groups of students, faculty, and staff.

HOW TO APPLY:

Complete applications will include a resume and contact information for three professional references. You must submit the requested documents in order to receive full consideration. The review of applications will begin immediately and continue until qualified candidates are selected.  

**Note: A pre-employment background check, urine drug screen, as well as a satisfactory driving record will be required as a condition of hire.

Shenandoah University values the unique and diverse perspectives of individuals and communities locally and globally and seeks to foster mutual understanding in an inviting community where individuals are welcome and respected. The university does not discriminate on the basis of race, color, religion, sex, pregnancy, sexual orientation, gender identity, national origin, age, physical or mental disability, genetic information, veteran’s status or on any other basis protected under applicable law.