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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 handled by teams in this department, which are centralized in the St. Louis and Tempe home offices.
Field Supervision Directors (FSD) are registered principals with supervisory responsibility over assigned branch offices. An FSD utilizes extensive electronic processing systems and exception reports to complete the supervision of and provide support to branch offices in the areas of account and trade activity, industry regulations and firm policies.
Contribute to the effective workflow of a Primary Field Supervision team by serving as the back-up for Field Supervision directors, managing multiple regions of responsibility and completing follow-up work.
Partner with Financial Advisors and branch teams in an effort to assist them in building a successful and compliant business.
Conduct review and approval of client account and trade activity, including completing commission adjustments in client accounts when appropriate.
Coach and educate branch teams on supervisory and compliance issues, best practices, and complex client situations.
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.
Identify trends and patterns in branch activity and proactively communicate issues to Primary FSD.
Collaborate with the team leader to manage team workflow and ensure timely completion of supervisory work.
Monitor and resolve incoming inquiries from branch teams.
Series 7 license required that is currently active and held for a minimum of one year
Series 9, 10, 24, and 66 licenses required or must be obtained within four months of hire
Insurance license required or must be obtained within 12 months of hire
Compliance oversight, risk management, or supervisory related experience is strongly preferred
Broad knowledge of products, supervisory systems, firm policies, and industry rules and regulations
Must demonstrate strong conflict-management, problem solving and independent decision making skills
Ability to adapt to changing business needs on a daily basis
Ability to effectively plan and organize in order to manage multiple regions of responsibility
Excellent verbal and written communication skills
Bachelor's degree in business-related field is preferred, but not required
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
Company ranked No. 5 in the FORTUNE 100 Best Companies to Work For® list for 2017
In 2016, Fortune Magazine ranked us seventh on their list of the 100 Best Workplaces for Women. The list is based, among other things, on employee benefits, flexible scheduling and work-life balance.
Fortune and Time Inc. are not affiliated with and do not endorse products or services of Company.
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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