Job description

Job Summary:

The Director of Supervision supports the Director of Supervision in shaping the culture of compliance in the office. The role requires implementing strategies and risk management methods, with oversight of investment product transactions, SEC books and records, and upholding industry and company compliance rules. The Director of Supervision will evaluate situational risks, make decisions, and build relationships effectively. The professional will bring an enthusiasm for new ways of working, an eye for efficiency, and an ability to motivate others.

Principal Accountabilities

·Supervision of investment and insurance sales practices

·Transaction monitoring and follow-up

·Recordkeeping and reporting

·Training and communications related to compliance best practices

·Supports leaders in integrating compliance into network office priorities

Competencies

·Strong organizational and time management skills

·Excellent written and oral communication skills with a high degree of emotional intelligence

·Highly self-motivated, self-directed and able to work with a positive attitude

·Evaluate problems and make decisions quickly based on risk

·Team player and ability to collaborate effectively with others

Qualifications:

·Preferred FINRA registrations Series 7, 9, 10, 63/66 -or- 7, 24, 4, 53, 63/66 (required within 90 days of hire)

·CA Life/Health insurance license (required within 90 days of hire)

·Bachelor’s degree preferred

·2-5 years of related work experience, preferably in financial services

·Ability to travel to district offices and headquarters, as required

Benefits:

We believe in building a team that loves what they do and creating a work environment that supports long-term career and personal growth. Accordingly, we provide a rewarding compensation package which includes:

·A competitive base salary commensurate to experience

·Medical, dental, and vision insurance premiums covered 100% up to HMO

·Long term disability and life insurance premiums covered 100%

·Company-sponsored licensing, professional development, and education opportunities

·18 Personal Days Off annually with paid holidays

·Parking/transportation stipend

·High-impact and dynamic career path

Job Type: Full-time

Benefits:

• 401(k)
• Dental insurance
• Health insurance
• Life insurance
• Paid time off
• Vision insurance

Physical setting:

• Office

Schedule:

• Monday to Friday

Application Question(s):

• Do you have experience working in financial services/compliance?

Education:

• Bachelor's (Preferred)

Experience:

• Financial services: 2 years (Preferred)

License/Certification:

• FINRA Series 7, 24, 4, 53, 63/66 (Preferred)
• FINRA Series 7, 9, 10, 63/66 license (Preferred)

Work Location: One location

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