Essential Duties and Responsibilities:
Conducts review of advertising material to ensure compliance with applicable industry rules (i.e. State, FINRA, & SEC) and firm policies and procedures.
Researches compliance & supervision issues with respect to advertising material.
Monitors and keeps up to date with regulations regarding communications and applies them accordingly.
Assists in researching Supervision issues.
Assists in developing training programs, including maintaining training records and coordinating training with functions.
Prepares and delivers written and oral presentations to business units.
May participate in the formation of policies related to compliance.
Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities:
Knowledge of:
• Investments and trading, securities industry regulations, and client suitability (all at a level consistent with the requirement of Series 24 licensing). Familiarity/facility with RJ and its systems is preferable.
• Company’s working structure, policies, mission, and strategies.
• General office practices, procedures, and methods.
• Suitability and other compliance issues involved with branch manager/FA trading activity.
Skill in:
• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases.
• Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.
• Detail orientation to ensure the regulatory liability is limited, without impairing workflow.
• Utilizing business-appropriate phone manners.
Ability to:
• Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.
• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers/FAs.
• Establish and communicate clear directions and priorities.
• Provide a high level of customer service.
Educational/Previous Experience Recommendations:
• Bachelor’s degree (B.A) in a related discipline and a minimum of two (2) years of experience in Supervision and/or the financial services industry.
~or~
• Any equivalent combination of experience, education, and/or training approved by Human Resources.
Licenses/Certifications:
Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
SIE required provided that an exemption or grandfathering cannot be applied.
Required to have a Series 7, 24 and 66
Series 65 and 63 can be obtained instead of 66
Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.