Monitor advisor activities for compliance, conduct supervisory reviews, partner with compliance, approve new accounts, and handle regulatory exams.
Job Summary & ResponsibilitiesPreferred Qualifications
Responsibilities include but are not limited to:
- Monitor advisor activities to ensure adherence with firms' policies, regulatory requirements (FINRA, SEC, State Regulations) and industry best practices.
- Conduct daily, monthly, and quarterly supervisory reviews of advisors' activities, including transaction monitoring and account documentation.
- Partner with Compliance, including providing input to policy and supporting communication and adherence to policy, and building out the day-to-day regulatory supervision of US Wealth Management business.
- Supervise the opening and maintenance of client accounts to ensure adherence to KYC/AML.
- Partner with management to lead and run ad hoc projects and initiatives and provide operational support where needed.
- Approve new accounts, trade exceptions and investment recommendations within delegated authority levels.
- Maintain accurate records of review activities and prepare reports for regulatory examinations as needed.
- Identify and escalate potential regulatory or reputational risk in a timely manner.
Required Skills:
- Knowledge of securities industry regulations, including FINRA/SEC rules, and suitability guidelines.
- Knowledge of the following products and supervision of these products: alternatives investments, structured products, stock and fixed income securities.
- Strong verbal and communication skills.
- Strong organizational and teamwork skills.
- Self-starter who will take initiative, learn quickly and work both independently and collaboratively.
- Results oriented and quickly turn around high-quality work in a fast-paced environment.
Required Experience:
- High School Diploma with a minimum of 2 years of experience in wealth management or brokerage compliance.
- Series 7, Series 9/10, Series 66 (63/65) required.
Preferred Experience:
- Bachelor's degree in related concentration such as Business Administration, Finance, Mathematics, etc. and ideally 2-5 years of experience in wealth management or brokerage compliance.
Top Skills
Alternatives Investments
Aml
Finra
Fixed Income Securities
Kyc
Sec
Securities Industry Regulations
Stock Securities
Structured Products
Valley Bank Morristown, New Jersey, USA Office
70 Speedwell Ave, Morristown, New Jersey, United States, 07960
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