#JR-23021684
rative, operational, supervisory, and regulatory oversight functions within a supervision group for multiple business channels, and is responsible for a wide variety of delegated processes or projects. The ADP program is strategically focused on training and developing the next generation of Advisors. Regulatory oversight includes an expectation to have routine dialogue and collaborate with various line of business partners and senior supervision leadership on multiple processes or projects from development through to completion. The primary objective of the role is to reduce risk to the Firm, including all lines of business and employees, by performing in-depth analysis aimed at assessing and identifying potential risks that may hinder the reputation of effectiveness of the Firm. Principals will articulate methodology, review documentation, escalate and identify key areas of risk and make recommendations for risk mitigation by effectively coordinating all aspects of an assigned process or project. Requires supervisory experience and thorough knowledge of Firm and regulatory requirements including the variety of products and services offered.
The Supervision Principal IV will be responsible for performing supervisory reviews, approvals, resolving escalations with office management teams and ensuring appropriate visibility to Advisor conduct matters with management teams. Key expectation to execute sound supervisory judgment and intellectual curiosity in disposition of matters, along with strong partnership, collaboration and communication abilities.
Responsibilities include, but are not limited to:
Responsible for Supervision processes to support the Advisory Development Program
Performs supervisory reviews of select activity as necessary through various supervisory applications, which could include Enterprise Account Opening (EAO), Online Trade Review (OTR), ML One Control Panel, ProofPoint, Risk Management Supervision (RMS), Client Management Center (CMC) and Supervision Dashboard, Fiduciary Dashboard, Registration Dashboard.
Monitors and takes action related to various control/ad hoc reports
Identifies and escalates Advisor conduct concerns assisting Office Management Teams in resolution.
Routinely partners with Market and Division Leadership
Demonstrating sound and consistent judgment based on thorough and systematic review of information available
Maintaining a high level of intellectual curiosity; asking pertinent questions to gather relevant facts surrounding a problem, issue, or objective; weighing the relative importance, adequacy, and validity of information to form fact-based opinions, solve problems and make sound recommendations
Communicating effectively (both written and oral) with colleagues, Advisors and leadership using clear, concise, and understandable language
Maintaining robust documentation for the methodology of analyses conducted, their outcome, and information gathered through supplemental conversations
Producing periodic metrics, commentary on reviews conducted and best practice recommendations
Required Skills:
Bachelor's Degree (or equivalent work experience)
Series 7, and 8 or 9/10, and 63/65 or 66 required to be considered for the role (in lieu of the 8 or 9/10 the following combination: 4, 24 and 53)
5 years minimum wealth management experience
2 years minimum in a Supervision role
Strong orientation toward cross-functional collaboration/partnership
Strong adaptability and capacity to work in fast-paced environments
Detail oriented and excellent time management and organizational skill
Excellent communication skills
Track record of sound supervisory judgment, attention to detail and decision making
Ability to work independently and remotely from manager/colleagues
Branch office experience or exposure would be helpful
Working knowledge of security products and services required
Working knowledge of regulatory policies and specifically ML policies/procedures expected
Proficiency with Microsoft Outlook, Word, Excel, and PowerPoint
Shift:
1st shift (United States of America)
Hours Per Week:
40