Your Opportunity

What you are good at

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  Works with the business leadership and S&C leadership on the communication, integration and implementation of supervisory initiatives.
• Ensures business leadership is aware and involved in handling supervisory and risk management issues through regular meetings, reporting/metrics and advancements.
• Serves as a point of escalation for employee conduct issues, policy violations and disciplinary considerations
• Communicates with Senior Regional Managers in SWA and SWA Directors, licensed reps and/or central delegate teams to resolve supervisory inquiries
• Able to measure risk and make independent decisions in an ambiguous environment
• Coordinates with peers, field leaders, supervisors and analyst teams to identify trends and patterns across branches, regions and/or the business line
• Represents S&C and demonstrates leadership through active participation on firm projects and working groups as assigned. Can think strategically, independently define next steps and drive/complete with limited guidance.
• Effectively influences and gain support of other areas of the firm in delivering solutions.
• Initiates amendments to current policies and procedures as appropriate, has a strong understanding of the firm’s Risk Management infrastructure and advances risk accordingly.
• Builds a high functioning/high productivity work environment, prioritizes tasks and produces a strong work product
• Has a strong professional presence, is self-aware and highly engaged
• Will need to maintain an overall vision of assigned projects and communicate the status to all levels of senior leadership.
• Provide coaching and guidance to the field and business partners on policies and procedures in a way that promotes risk awareness and a strong culture of compliance.
• Performs under pressure on multiple tasks concurrently and meets target dates in a fast-paced work environment with frequent interruptions and changing priorities.
• Increases effectiveness and successful performance of the broader team through identifying and closing skill/knowledge gaps and coaching, feedback and mentoring.

What you have

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  Must be results driven and innovative while also reciprocal and authentic. Should be strict in their approach, accountable and able to influence others in a sometimes ambiguous environment.
• Undergraduate degree in Business, Accounting, Finance or related field preferred
• Series 7, 66 (or 63/65), 9/10 or 8 (or 24/53/4)
• 5-7 years of shown experience in supervision and regulatory matters
• Prior leadership/team management experience preferred
• Strong industry acuman, self-starter and ability to work with minimal direct supervision
• Ability to multi-task, prioritize, problem-solve, trouble shoot and follow-up are crucial
• Ability to define problem areas and analyze risk, develop policy, procedures and controls to effectively supervise and mitigate risk
• Must work well under contending target dates and possess strong organizational skills
• Excellent oral and written communication skills
• Solid understanding in all Microsoft applications; Excel, Word and Powerpoint