Job Summary:

Manages the supervisory oversight of branch manager activity, ensuring adherence to firm and regulatory policies and procedures. Monitors activities of branch managers to ensure compliance with internal policies and procedures, and external regulations. Oversight activities include the review and approval of client activity for branch managers that require supervisory oversight. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with some latitude for independent actions or decisions. Uses extensive knowledge and skills obtained through education and experience to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities:

• Responsible for supervisory oversight of client activity and ensures adherence to firm and regulatory policies and procedures.

• Performs reviews of client accounts and documents that are submitted on behalf of branch managers that require supervisory oversight.

• Educates branch staff associates.

• Escalates concerns to senior management and may propose new policies or procedures regarding risk; adhering to compliance and operational risk controls in accordance with company and regulatory standards.

• Reviews and analyze supervision monitoring reports and systems for suspicious/unusual patterns and follow-up with appropriate individual(s) for explanations and actions.

• Interfaces with business platform division supervision and/or division management associates to apprise them of any supervisory concerns regarding branch offices.

· Works with division supervision and/or division management to address concerns as well as to resolve any potential conflicts that may have arisen pertaining to the client accounts of branch managers

• Monitors and keeps up to date with securities/advisory regulations and applies them accordingly.

• Interprets, applies, and recommends changes to organizational policies and procedures while adhering to compliance and operational risk controls in accordance with company and regulatory standards.

• Communicates with the field regarding regulatory rules and firm policy changes.

• Performs other duties and responsibilities as assigned.

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Knowledge, Skills, and Abilities:

Knowledge of:

• Comprehensive understanding of company policies and procedures and industry rules and regulations.

• Investment concepts, practices and procedures used in the securities industry.

• Financial markets and products.

Skill in:

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

• Preparing and delivering clear, effective, and professional presentations.

• Identifying the needs of customers through effective questioning and listening techniques.

• Handling stressful situations and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.

• Projecting a professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.

• Employing good analytical skills to be able to research and resolve problems.

• Establishing and communicating clear directions and priorities.

• Utilizing good interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel.

• Establishing and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.

• Effectively organizing, managing, tracking and completing multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

• Work independently, under minimal supervision.

Ability to:

• Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.

• Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.

• Project a professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.

Educational/Previous Experience Requirements:

• Bachelor’s degree (B.A.) from four-year college or university, and a minimum of five (5) years’ experience in a financial services firm / supervision

~or~

• An equivalent combination of experience, education, and/or training as approved by Human Resources.

Licenses/Certifications:

• Series 7, 9/10 or 24, 66 or 65/63 is Required