Senior Supervision Officer

Senior Supervision Officer

07 Aug 2024
New York, New york city, 10001 New york city USA

Senior Supervision Officer

Vacancy expired!

Our client is looking for a

Senior Supervision Officer to join their team in New York, NY.

Responsibilities:
  • Provide procedural guidance to Portfolio Managers, Wealth Advisors, Salespersons, administrators and internal business partners via email, telephone inquiries and staff meetings.
  • Serve as the subject matter expert for critical projects involving proposal generation, account opening and IPS guideline monitoring.
  • Principal review and approval of account maintenance and new accounts, including natural person and entity new accounts, with strategies spanning across asset classes (equity, fixed income, private equity/credit and hedge funds) with emphasis on best interest standards, investment policy statement (IPS) review and meeting appropriate documentation requirements.
  • Monitor Discretionary & Non-Discretionary Investment Advisory program relationships, using proprietary firm tools, with focus on identification, mitigation and resolution of alerts related to IPS Compliance (including but not limited to deviation from asset allocation/risk profiles, suitability of portfolio holdings, alternative investment exposure, and related account activities within client relationships).
  • Timely review and approval of client correspondence, including print and electronic communications, such as customized presentations, wealth analysis/financial plans, strategy decks and email surveillance in accordance with Client and SEC rules regarding communications with the public, all under tight deadlines.
  • Assist in the analysis, development and implementation of policies and procedures to ensure compliance with various regulations including the Investment Advisers Act of 1940 and the Investment Company Act of 1940 rules and regulations.
  • Review and evaluate portfolio holdings verse client account objectives to ensure compliance with best interest standards.
  • Work closely with internal/external auditors and Legal and Compliance to respond to regulatory inquiries.
  • Liaise with senior business personnel regarding special projects and regulatory initiatives; provide guidance and analysis of rules and/or firm policies as appropriate.
  • Cross-train in additional supervision areas, dependent upon business requirements

Qualifications:
  • Bachelor's Degree required
  • Series 7, 66 and 24 (or 9/10) licenses required.
  • 5-7 years of investment advisory or broker-dealer experience, ideally with background in supervisory principal activities.
  • Detail-oriented with strong organizational and follow up skills.
  • Must be able to operate independently and function as a team player.
  • Demonstrated ability to use sound judgment and critical thinking skills to investigate, evaluate and resolve complex issues.
  • Strong collaboration, influence, and excellent interpersonal skills including the ability to interact with all levels of staff.
  • Demonstrated analytical ability, strong written and oral communication skills.

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  • Advise corporations, financial institutions, and individuals regarding civil litigation strategy at the trial and appellate levels in federal and state courts, including securities, contract, and M&A disputes. Advise clients regarding legal strategy in responding to criminal and regulatory investigations and enforcement actions by Department of Justice (DOJ), Securities & Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), and other regulatory bodies. Research and draft briefs, legal memoranda, dispositive motions, pre-trial orders, stipulations, affidavits, subpoenas, discovery requests, and objections to discovery requests. Prepare for and conduct witness interviews and depositions, prepare witnesses for trial testimony, and prepare for cross-examinations. Manage pre-trial fact and expert discovery.Position Requirements: JD, LLM or foreign equivalent; Two (2) years of experience practicing law; and New York bar admission. Two years of experience must include Advising on multi-jurisdictional trial strategy, corporate governance, and regulatory compliance with securities, banking, and antitrust laws. Drafting briefs, legal memoranda, dispositive motions, pre-trial orders, stipulations, affidavits, subpoenas, discovery requests, and objections to discovery requests. Organizing pre- and post-trial strategy and processes. Representing clients in criminal and regulatory investigations and enforcement actions by DOJ, SEC, and CFTC.To Apply:Please send cover letter and resume to:Milbank LLP55 Hudson YardsRecruiting, 34th Floor, Ref. LBGCNew York, NY 10001

Job Details

  • ID
    JC44663501
  • State
  • City
  • Job type
    Permanent
  • Salary
    $120,000 - $150,000
  • Hiring Company
    Open Systems Technologies
  • Date
    2022-08-04
  • Deadline
    2022-10-03
  • Category

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