Supervision Associate

Central Supervision Associate – Benjamin

F. Edwards

Apply for the Central Supervision Associate role at Benjamin

F. Edwards
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The Supervision Department is a critical component of Benjamin

F. Edwards’ mission of placing the clients’ interests first while ensuring the firm remains in compliance with industry rules and regulations. As a Central Supervision Associate, you will partner with other supervisors and corporate divisions to proactively mitigate risk by managing activity, product oversight, escalation approvals and governance.

• Perform centralized supervisory functions such as insurance transaction review, complex product supervision and correspondence review to ensure proper adherence to firm and industry policy.
• Approve new accounts and account maintenance items pursuant to firm policies.
• Perform trade and account reviews for brokerage and advisory accounts; review deposits and disbursements; approve new accounts and account updates.
• Address sensitive supervision issues with the appropriate Regional Directors, Branch Managers and Financial Advisors.
• Identify supervisory areas of concern, ongoing issues, and recurring patterns at an employee, office, or management level and bring these to the attention of the appropriate individual(s).
• Develop and document procedures and internal communications.
• Demonstrate sound and consistent supervisory judgment based on a thorough and systematic review of information available.

• Demonstrated knowledge of SEC, FINRA and other federal and state securities regulatory agencies.
• Ability to handle information professionally and confidentially.
• Solid conflict management and decision‑making skills; ability to act independently.
• Ability to interact with all levels of branch associates and business units.
• Ability to utilize various electronic supervisory systems and exception reports.
• Excellent written, verbal, and analytical skills.

• Minimum
  
  Education Required:
  
  Bachelor’s degree or equivalent work‑related experience of 9+ years.
• Minimum Work Experience
  
  Required:
  
  3 years in compliance or supervision.

• Minimum
  
  Required:
  
  Series 7 and 66 at time of hire. Series 9/10 and 24, Health and Life Insurance licensing preferred and must be obtained within six months of hire.

This position requires the ability to work in a stationary position for several hours at a time and the ability to lift up to 25 pounds, occasionally. Some filing is required. The environment is an air‑conditioned, smoke‑free office. The role routinely uses standard office equipment such as computers, phones, photocopiers, and filing cabinets.

Benjamin

F. Edwards was founded in 2008 and serves more than 300 advisors with over $30 billion in assets, offering a scale that meets advisor expectations and a personal touch. The firm values legacy and collaboration, and commits to a culture that encourages growth and learning. Benefits include health, dental, vision, 401(k), life insurance, disability, and paid time off.

Benjamin

F. Edwards is an Equal Opportunity Employer. We welcome applicants of all races, colors, religions, genders, sexual orientations, national origins, genetics, disabilities, ages, and veteran status.