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 is accountable for supervising branch activity, conducting supervisory visits, reviewing client trade activity, approving new accounts, and responding to inquiries regarding compliance policies or procedures. This position is accountable for leading a team of Field Supervision Directors who provide help to our branch offices and internal departments.What You'll Do:
Oversee the performance of a Field Supervision primary team
Set clear expectations to ensure that reasonable supervision is being conducted by the team
Manage the day-to-day workflow of the team
Ensure that team members receive the training and development needed to become and remain effective team members
Conduct regular oversight of FSD work to ensure that reasonable and supervision is taking place
Review and approve client contacts
Review business travel itineraries and expense reports to ensure that firm resources are being used
Drive complex and/or technical projects and assist in the development of supervisory systems
Represent the department to other business areas of the firm, industry regulators, participate in sales practice exams, testify during FINRA arbitration cases, and participate in industry conferences
Promote professional standards that are with the firm culture as well as the department's stated mission and goals
Give guidance about complex supervisory options that may involve some level of rule interpretation
What You'll Need:
Bachelor's degree preferred
Series 7 and 66 (or equivalent) required (Series 7 must be held for a minimum of 2 years)
Series 9 and10 (or equivalent), 24, and insurance license required (or must be obtained within 4 months of hire)
What Might Set You Apart:
Securities industry experience and/or compliance experience is preferred
Proven product knowledge as well as knowledge of both industry regulations and firm policies and supervisory systems
Excellent verbal and written communication skills
Ability to provide effective coaching and feedback
Candidates that live within in a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through ThursdayEqual Opportunity Employer - minorities/females/veterans/individuals with disabilities/sexual orientation/gender identity
