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The Field Supervision Department plays a critical role in achieving the Compliance Division's mission of promoting our clients' best interest while helping to ensure the firm remains in compliance with industry rules and regulations. Supervisory responsibilities of the firm's branch offices are centralized in the St. Louis and Tempe home offices.
Investment Advisory Field Supervision Directors (FSD) are registered principals with supervisory responsibility of client transactions and branch activity in the firm's Investment Advisory programs. An Investment Advisory FSD utilizes extensive electronic order systems to complete the supervision of these transactions.
• Supervise and support branch offices to ensure adherence with firm policies and industry regulations regarding activity in the Investment Advisory programs.
• Review trade activity within Advisory programs on a daily basis
• Partner with Financial Advisors and branch teams in an effort to assist them in building a successful and compliant business
• Routinely contact clients to discuss trade activity within their accounts and to ensure proper disclosures have been made
• Communicate potential concerns or supervisory issues to clients, Financial Advisors, home office associates, and industry regulators
Respond to communication wires, e-mails, and phone calls in a timely manner
• Assist the department in identifying supervision needs and creation of processes and procedures for supervising investment advisory activity
• Identify trends and patterns in branch activity to determine if follow-up is needed and/or if a situation requires escalation to another area in Compliance
• Work in collaboration with internal business areas
• Assist the department in process improvement and special projects as needed
• Bachelor's degree in business-related field is preferred, but not required
• Series 7 license required and must be held for a minimum of one year
• Series 66, 9, 10 and 24 licenses required or must be obtained within 4 months of hire
• Excellent verbal and written communication skills
• Must demonstrate strong conflict-management and problem-solving skills and independent decision making skills
• Compliance oversight, risk management, or supervisory related experience is strongly preferred
• Must be flexible and a strong team player
• Ability to work in a dynamic fast paced environment
• Experience supervising fee based programs is strongly preferred
• Minimal travel could be expected to other home office locations and branch offices
At Company, we help clients achieve their serious, long-term financial goals by understanding their needs and implementing tailored solutions. To ensure a personal client experience, we have located our 14,000+ branch offices where our more than 7 million clients live and work. A typical branch office has one financial advisor who meets with clients face-to-face and one branch office administrator who enhances the team's ability to build deep relationships with clients. Headquarters associates in St. Louis and Tempe provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. Company currently has more branch offices than any other financial services firm, and we continue to grow to meet the needs of long-term individual investors.
Awards and Accolades
For the 19th year, Company was named one of the “100 Best Companies to Work For®” by FORTUNE magazine in its annual listing. The firm ranked No. 5 overall. These 19 FORTUNE rankings include top 10 finishes for 15 years, top 5 rankings for eight years and consecutive No. 1 rankings in 2002 and 2003.
Company does not discriminate on the basis of race, color, gender, religion, national origin, age, disability, sexual orientation, pregnancy, veteran status, genetic information or any other basis prohibited by applicable law.
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