VP, Supervision

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Leadership Opportunity in Financial Services

Vice President, Supervision  


Location:         

20 E Thomas Rd., Phoenix, AZ  85012

Summary:

The Vice President of Supervision manages and supervises activities of the Sales Supervision Department and aids the Chief Supervision Officer of Advisor Group in formulating and administering organization policies related to the suitability review and pre-approval of certain transactions by performing the following responsibilities personally or through subordinate managers.

Responsibilities:

  • Directs and manages the Sales Supervision Department to ensure its managers and principals are adequately trained, properly staffed, and committed to provide quality and timeliness in their reviews and service delivery. 
  • Establishes Sales Supervision goals consistent with company goals to achieve department mission.
  • Collaborates with the compliance department to research and respond to regulatory matters and inquiries related to the pre-approval function.
  • Develops and maintains strong rapport with field advisors and National Councils/Boards, Business Development, Recruiting, Compliance and other Department Managers
  • Assesses risk and presents recommendations on escalated issues
  • Establishes, maintains and enforces supervisory controls to ensure compliance with regulatory requirements and Firm’s policies and procedures.
  • Manages cross-organizational projects and demonstrates negotiating skills. Must be able to build effective business relationships with internal departments, financial advisors, OSJs, and external service providers.
  • Tests and verifies the department supervisory procedures are reasonably designed to achieve compliance.
  • Creates additional or amends supervisory procedures as needed in conjunction with other departments.
  • Reports to Senior Management status of supervisory controls, summary of test results and significant exceptions.
  • Recommends to Senior Management applicable amendments or additions to supervisory procedures
  • Serves as member of management committees on special studies, supervisory procedures, compliance policies, and field communications.
  • Aids in the preparation of Sales Supervision activity and statistical reports.
  • All other duties as assigned

Education Requirements:

  • Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required. 

Basic Requirements:

  • 8-10 years experience in the financial services industry.
  • FINRA Series 7, 63, 65 or 66, and 24 licenses (or 8, or 9/10) are required
  • Demonstrated knowledge of industry compliance regulations. 
  • Demonstrated success working with independent broker-dealers and representatives, branch office management, and/or mid to senior level broker-dealer sales or marketing management.
  • Proficient with Windows and MS applications such as Word, Excel, PowerPoint and Outlook.
  • Knowledge of V2020, Salesforce, Pershing platform and Quick Submit (Firelight).