Field Supervision Director - Primary

Do you enjoy putting pieces together to know the bigger picture and partnering to solve complex issues? If so, there is an exciting career opportunity waiting for you in our Field Supervision Department! The Field Supervision Department plays a critical role in achieving the Compliance Division's purpose of promoting our client's best interests and options by partnering to improve our culture of compliance and enable the best experience for all.

Our associates are our greatest asset, and the opportunity to increase our client impact is directly related to our success in attracting, retaining, and developing a talented and diverse workforce. Field Supervision Directors are registered with FINRA as designated supervisory principals to enforce firm and regulatory compliance rules and policies over assigned branch offices.

Compliance Field Supervisors utilize extensive electronic processing systems and exception reports to complete the supervision of and provide help to branch offices regarding client activity, firm policies, and industry regulations.

What You'll Do

Enforce firm and regulatory compliance rules and policies for assigned Branch Teams. Prevent, detect, and mitigate risk to clients, the firm, and Branch Teams by examining client account activity, identifying suitability concerns, and evaluating Branch business. Judgment making is evidenced in supervisory records and subject to regulatory scrutiny.

Partner with leadership to provide input and guidance on establishing and maintaining firm WSPs. Advance knowledge and expertise of industry regulations and firm policies. Consultant on firm offered products, asset allocation strategies, and investment solutions for clients, to ensure alignment with industry regulation and firm investment philosophy.

Guide Branch Teams in building a successful and compliant business. Influence and drive discussion on compliance topics with Branch Teams, Regions, and various stakeholders across the firm. Represent the firm through direct contact with clients to discuss account activity and confirm knowledge of risks and benefits in relation to industry regulation and firm investment philosophy.

Travel may be required for Branch Team supervisory visits, regulatory examinations or events, and compliance related matters.