Position Summary: In conjunction with the Wealth Management Manager, direct, motivate and monitor the operational activities of the Tri Counties Advisors support team. Plan, develop and coordinate the implementation and tracking of NDIP policy and procedures. Direct liaison between Raymond James Financial Services (RJFS) and Tri Counties Bank (TCB) regarding compliance and audit matters. Visits branches on a regular basis for on-site examinations and training.
- Supervises the Support Staff team members which include, evaluating, scheduling and managing workload assignments. Review and approve timekeeping for exempt and non-exempt staff.
- Directly supervise the Operations Supervisor and other Support Staff team members which include, hiring, evaluating, scheduling and managing workload assignments. Review and approve timekeeping and commission reporting.
- Conduct daily reviews and approvals of trades, deposits, new accounts, correspondence (print and electronic) and account alerts in the Supervisory Workstation.
- Analyze and /or investigate unusual account activity such as money laundering, elder financial abuse and unauthorized access.
- Conduct internal audits both announced and unannounced to all registered locations
- Contact person for RJFS Internal Auditors and Regulatory Auditors. Draft audit responses. Develop, document and implement any procedural changes due to regulatory changes or audit findings.
- Plan and conduct training in a one on one setting or group setting
- Track and monitor the completion of all regulatory and RJFS Firm Element training courses.
- Identify, review and approve team Outside Business Activities.
- Assist in the Implement, coordination and management of the team marketing initiatives ensure all approvals are in place and maintained on a yearly basis. This includes social media accounts, websites, print materials, client event/seminars materials and all stationary items.
- Assist the department with operational procedures, customer support, compliance/legal and system related issues. Assist the department in account issues, as well as legal matters.
- Provide direct support and training for the onboarding of new Financial Advisors prior to onboarding and after onboarding.
- Participate in TCB Committees as delegated by the Wealth Management Manager.
- May provide direct administrative support to one or more Financial Advisors.
- In the absence of the Wealth Management Manager, performs those duties.
- Maintains a current understanding of Bank procedures and policies in addition to maintaining a working knowledge of applicable federal and state regulations, including, but not limited to, NDIP, FINRA, Regulation R, the Interagency Statement of RetailSales of NDIP’s, and State Insurance Regulations.
- Manage special projects and perform other duties as assigned by the Wealth Management Manager.
- Performs other work duties as assigned.
Education, Experience, And Other Skills Required:
- High school diploma or GED required.
- College degree or equivalent business experience.
- 5+ years of investment service supervision experience with a clean Client Registry Depository (CRD).
- Series 7 & 24 required. Series 63/64 or 66, 9/10 or 24, California Insurance License, preferred.
- Excellent verbal and written communication skills.
- Proficiency in use of personal computers and Windows driven programs such as Outlook, Word, Excel, PowerPoint, SharePoint, etc.