Advisor, Supervision- Investment Advisory - Colorado

Only for registered members Colorado, United States

1 month ago

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Job Summary

The Advisory Supervision team provides fiduciary oversight of Investment Adviser Representatives (IARs) in accordance with SEC regulations. An Advisor, general investment advisory is expected to conduct reviews which can include – fiduciary and investment advisory reviews consistent with the Investment Advisers ACT of 1940.

Responsibilities

  • Monitors the sales practices, fiduciary and investment advisory activities of advisors and branch managers.
  • Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may arise with advisors and branch office managers.

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