Associate Director of Supervision

Clayton, MO
Full Time
Mid Level
Location: Clayton, MO
Job Title: Associate Director of Supervision
Type of Position: Full-time
FLSA Classification: Exempt
Hours per week: 40
Working Hours: 8:00am-5:00pm

Our culture supports an open mindset, curiosity, independent quests for knowledge and shared learning directed towards the mission and goals of the organization. Our actions are guided by our core values of Personal Responsibility, Personal and Professional Growth, Feedback Rich, Generosity and Faith. We are catalysts inspiring our community to plan for tomorrow while living for today. One person, one family, one business at a time.

Job Summary

The Associate Director of Supervision supports the Chief Supervision Officer (CSO) in shaping the culture of compliance in the office. You’ll support the CSO in implementing the supervision strategy and risk management approach for the office. You’ll prioritize effectively and will work within a team to accomplish network office goals. You’ll evaluate situation risk, make decisions, and build relationships effectively. Finally, you’ll bring an enthusiasm for new ways of working, an eye for efficiency, and an ability to motivate others.

Key Responsibilities
  • Review and supervise multiple systems, including, but not limited to, flagged email and social media correspondence, transaction/trend supervision, and compliance monitoring systems
  • Assist in completing on-site inspections, client file reviews, and compliance related interviews of Financial Representatives and their team members
  • Help maintain books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA
  • Support Financial Representatives and field associates, related to risk management, regulatory change, policies and procedures, and documentation requirements
  • Support supervisory plans put in place to address non-standard behavior or to address sales practice concerns
  • Support the direction of the local Network Office compliance program

Minimum Job Requirements

  • Active and valid FINRA Series 7, 9/10 and 63 registrations preferred; or the ability to obtain within 3 months
  • Active and valid FINRA Series 7, 24, 4, 53, and 63 may be considered in lieu of S7, 9/10, and 63
  • Active Life/Health license, or the ability to obtain within 3 months
  • 3-5 years of financial services experience required; Financial Services Compliance experience preferred
  • Ability to evaluate problems and make decisions quickly based on risk
  • Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills
  • Ability to prioritize workload and seek support when appropriate, as well as work within a larger team
  • Strong written and oral communication skills
  • Experience handling highly sensitive communications
  • Orientation toward working independently with minimal guidance
  • Collaborates with other leaders and integrates compliance into network office priorities
  • Skilled in listening, partnering, and advocating
  • Relationship management skills with ability to adapt approach to different people
  • Ability to adapt quickly to the impacts of regulatory changes, environmental factors, or other miscellaneous policy or process changes
Benefits
    • Health, Vision, & Dental Insurance
    • Short- & Long-Term Disability
    • 401(k) Retirement Plan
    • Group Life Insurance
    • PTO + holiday pay
  • Parking
  • Base salary proportionate to experience level
  • Industry licensing and continuing education expenses
  • Personal and professional development opportunities
Share

Apply for this position

Required*
Apply with Indeed
We've received your resume. Click here to update it.
Attach resume or Paste resume
Attach resume as .pdf, .doc, .docx, .odt, .txt, or .rtf (limit 5MB) or Paste resume

Paste your resume here or Attach resume file

Human Check*