Advisor, Supervision - Communications Review

Advisor, Communications Review Team

The Communications Review Team consists of the advertising, hard copy correspondence review, social media and e-mail review teams. The advisor for this team will administer and analyze various communication reviews and content to ensure compliance with regulatory expectations and firm policies and procedures. Escalates and partners with senior advisors and management team for highly sensitive or complex issues. Some guidance is provided to perform varied work that is somewhat difficult in nature and that requires evaluation, originality and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Leads defined work or projects of moderate scope and complexity. Maintains extensive contact with internal customers to identify, research, and resolve problems.

Essential Duties and Responsibilities :

• Conducts supervision review of communications, through the use of various reports and systems.
• Interfaces with divisional leadership to inform them of any supervisory concerns that may arise with branch office managers / FAs and works together with them to address these concerns as well as to resolve any conflicts that may arise.
• Monitors and keeps up to date with regulations regarding communications and applies them accordingly.
• Assists in researching Supervision issues.
• Assists in developing training programs, including maintaining training records and coordinating training with functions.
• Prepares and delivers written and oral presentations to business units.
• May participate in the formation of policies related to compliance.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities :

Skill in :

Ability to :

Educational / Previous Experience Recommendations :

Licenses / Certifications :

Salary Range : $70,000.00-$0.00

Workstyle : Remote