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    Director of Compliance - Boise, United States - Claire Myers Consulting

    Claire Myers Consulting
    Claire Myers Consulting Boise, United States

    3 weeks ago

    Default job background
    Description
    What will you do in this role?

    The Director of Supervision supports the Managing Partner in shaping the culture of compliance in the office. You'll be responsible for developing the supervision strategy and risk management approach for the office.

    You'll be a member of the leadership team and will be a trusted compliance advisor to representatives within the office.

    You'll draw from personal experiences to inform your work, evaluate risk, and anticipate needs of the office.

    Finally, you'll bring an enthusiasm for new ways of working, an eye for efficiency, and an ability to motivate and lead others.

    Duties of the role include the following:

    Perform review and supervision of multiple systems, including, but not limited to, flagged email and social media correspondence, transaction/trend supervision, and compliance monitoring systems
    Complete on-site inspections, client file reviews, and compliance-related interviews of Financial Representatives and their staff
    Maintain books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices, and other field locations as required by FINRA
    Provide a consultative and advisory role to Financial Representatives and field staff, related to risk management, regulatory change, policies and procedures, and documentation requirements
    Develop supervisory plans to address non-standard behavior or to address sales practice concerns
    Help set the strategic direction of the Local Network Office compliance program
    Train Financial Representatives and staff on compliance, regulatory, or related topics


    Knowledge, Skills, Abilities:
    Active and valid

    FINRA Series 7, 9/10 and 63 registrations are

    required
    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 licenses, or the ability to obtain within 3 months.
    5-7 years of industry experience with an emphasis on compliance/supervision
    Strong working knowledge of standard industry and regulatory policies and procedures
    Sound decision-making skills; ability to use a mixture of analysis, experience, and judgment to arrive at a conclusion or recommendation
    Ability to identify issues, trends, and potential sales practices issues with the purpose of escalating or addressing them
    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

    What makes you a great fit for our team?

    Orientation toward working independently with minimal guidance
    Highly evolved communication and presentation skills across audiences and mediums
    Collaborates with other leaders and integrates compliance into network office priorities
    Skilled in listening, partnering, and advocating
    Strong relationship management skills with the 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


    Job Type:
    Full-time


    Pay:
    $90, $120,000.00 per year


    Benefits:
    Dental Insurance
    Health insurance
    Paid time off
    Retirement plan
    Vision insurance


    Schedule:
    Monday to Friday


    Work Location:
    In person

    #J-18808-Ljbffr
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