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    Designated Supervisor/Compliance Specialist – Wealth Management - McLean, United States - Judson Group

    Judson Group
    Judson Group McLean, United States

    4 days ago

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    Description

    Judson Group has partnered with an ever-evolving financial services firm offering solutions to independent advisors based on their preferred level of ownership and responsibility in the search for a Designated Supervisor/Compliance Specialist – Wealth Management. The Designated Supervisor role oversees all supervision activities of their designated IARs (Investment Advisor Representatives) and RRs (Registered Representatives). This individual will provide supervision and guidance to assigned group of IARs/RRs on the firm's WSPs (Written Supervisory Procedures) and SCPs (Supervisory Control Procedures) in line with SEC Code and FINRA's Rule 3110 & 3120.

    Responsibilities:

    • Provide direct supervision of investment advisory and broker-dealer activities over designated representatives.
    • Review and manage representatives' trade blotters.
    • Review and ensure their Reg-BI reviews have been completed.
    • Confirm they are appropriately registered and licensed for the business they are conducting.
    • Review initial OBA (Outside Business Activity), PSA (Personal Securities Account), and PST (Private Securities Transactions) requests, and forward onto Director of Supervision for further review.
    • Perform ongoing supervision over their Compliance approved OBAs, PSAs, and PSTs accordingly.
    • Review and monitor their emails for compliance with firm policies and client suitability, i.e. investment recommendation emails, OBA related emails, etc.
    • Handle their calls and inquiries on supervisory and policy related matters.
    • Execute daily review and principal approvals for the following advisory and broker-dealer activities:
    • New client agreement and account documentation to ensure completion and adherence with applicable suitability and/or best interest requirements for the following business types: Advisory accounts, Brokerage accounts, Annuities, Alternative Investment Placements, Retirement Plans, College Savings Plans, Other Check & APP accounts
    • Client Profile Change requests
    • Retirement Plan Rollover requests
    • Options applications
    • Fixed Insurance Trade tickets
    • Participate and/or contribute to the objectives of the New Business & Risk Committees, such as research, ideas, feedback, and recommendations on firms' processes, business development, and operations.
    • Partner with Compliance, as guided by the Director, to implement and supervise policies, procedures, and related control functions.
    • Work with other Supervisors to confirm consistency on suitability rules and alerts within the workflow system.
    • Report to Director any regulatory violations, sales practice inconsistencies and/or violation of the firm's WSPs and SCPs.
    • Attend and participate in weekly supervisory meetings and Committee meetings (as scheduled).
    • Support the Director in ongoing training and development functions of the firm.
    • Work with Director, as needed, to ensure Operations workflow is in compliance with the firm's policies.
    • Prepare reports and audits as requested from the Director.
    • Perform additional supervisory and compliance functions as needed.

    Requirements:

    • Bachelor's Degree.
    • FINRA Series 7, 24, 66/65, 51/53 & 4.
    • 3-5 years in a compliance and/or supervisory role with an advisory firm and/or broker-dealer.
    • Experience with responsibilities in an RIA and/or Broker Dealer.
    • Knowledge of SEC and FINRA regulations.
    • Knowledge of securities products and offerings, including insurance products.
    • Knowledge of ERISA plan offerings.
    • Strong organizational skills and attention to detail.
    • Be able to grasp and operate the firm's supervisory and operations platforms.
    • Excellent technology skills: Typing proficiency, Word, Excel, PowerPoint a must.

    Compensation: Competitive base salary and benefits

    Location: McLean, Virginia

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