The primary function of the Regional Field Supervisor is to provide direct supervision of Registered Representatives (Financial Advisors and Licensed Relationship Bankers) within the designated geographical region(s).The Regional Field Supervisor will maintain ongoing relationships with their designated advisors to educate guide and ensure that the assigned Registered Representatives (RRs) are meeting the standards and requirements set forth by regulatory agencies and firm policies and procedures.
- Direct supervision of Registered Reps for the broker dealer; provide supervision, guidance, advice and training.
- Maintain Office of Supervisory Jurisdiction (OSJ) as required by the WSP
- Maintain comprehensive knowledge of key industry topics, internal programs, regulatory requirements, and firm policies and procedures.
- Identify suspicious patterns in sales and business practices.Conducts investigations and takes appropriate correction action as needed in collaboration with Regional Sales Managers and other internal business units.
- Support Home Office supervisors in the general supervision of RRs.
- Actively promote awareness and compliance with policies and procedures through consistent and proactive communication with assigned region.
- Participate in special projects, as request by Management
- 7+ years of advisory or brokerage experience, preferably in compliance, field management / supervision
- In-depth knowledge of FINRA, SEC, and state rules and regulations.
- Must be self-reliant and able to carry out duties and responsibilities without daily or direct supervision.
- Ability to make regulatory and supervisory-based decisions in a fast paced/high volume environment.
- Strong leadership skills and ability to influence.
- Strong conflict management and problem solving skills.
- Excellent written and oral communication and interpersonal skills.
- Organizational skills and the ability to prioritize multiple priorities.
- Proficiency in MS office projects.
- Prior management experience a plus
- Ability to travel within region at least 25% of time.
Education, Certifications and/or Other Professional Credentials:
- Bachelors degree
- Licenses / Certifications required: FINRA Series 7, 24, 65/66,Resident Life, Health, Accident and Variable Insurance
- Certified Retirement Counselor (preferred)