Broker Dealer Supervising Principal Job Atlanta Georgia USA,Finance & Banking

Experienced compliance and supervision professional reporting to the Chief Supervisory Officer (CSO) to provide supervision and compliance services to (1) the Strategic Financial Alliance, Inc. (SFA) OSJ Managers and financial advisors assigned to home office OSJ and (2) Financial advisors who are advisory representatives of Strategic Blueprint, LLC. Will also participate with the Supervision and Compliance teams in general compliance functions, which may include development of procedures and training, surveillance, and special projects.

Essential

Functions

Review for common risk and regulatory issues and approve business conducted by OSJ managers

Supervisory review of trade blotters

Supervisory review of new accounts and material account changes

Supervisory review of managed accounts

Supervisory review of advisory agreements and their implementation

Review of certain activities of financial advisors associated with independent investment advisers, including their managed accounts held away

Some supervisory review of email correspondence (Global Relay/App River)

Work with supervises to address suitability concerns and to educate on processes and procedures

Work with Compliance to address communications, complaints, and other deficiencies

Assist in development of Firm Element Continuing Education program and compliance training through on-going assessment of training needs and issues, reviewing Reg Ed courses, and developing OSJ compliance communications

Review quarterly statements supervises’ personal securities accounts and monitor for conflicts

Facilitate timely completions of annual compliance requirements (Firm Element, Code of Ethics, OBA disclosures, and Annual Compliance Questionnaires)

Conduct branch office examinations, as needed

Maintain an ongoing positive relationship with all financial advisors in collaboration with the Chief Supervisory Officer

Promote efficiencies and cooperation across all departments

Promote the goals and culture of the firm in serving the independent financial advisor in a compliant, professional, and user-friendly manner

Other duties and responsibilities as may be assigned

Qualifications

Required:

Position requires 5+ years’ experience in broker-dealer and/or investment adviser supervision or similar role
Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds
Series 7 and Series 24
Strong verbal and written communications skills
Ability to analyze large amounts of trade data and to think through complex compliance issues
Proficiency with Microsoft Office products (Word, Excel, PowerPoint)
Ability to travel to advisor offices and/or conferences
Must be detail-oriented, investigative and have the ability to handle a high volume of work independently in a dynamic environment
Knowledge of FINRA Rules and Rules under Investment Advisers Act

Preferred:

Experience supervising Registered Investment Adviser Representatives

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