Supervisory Officer - Los Angeles, CA

Only for registered members Los Angeles, CA , United States

1 month ago

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+ Supervisory Officer Job Description Wedbush Securities is one of the largest securities firms and investment banks in the nation We provide innovative financial solutions through our Wealth Management Capital Markets Futures and Advanced Clearing & Prime Services divisions Headquartered in Los Angeles California with over 100 offices and more than 80 correspondent offices our commitment to providing relentless customized service is the foundation of our consistent growth+ Responsibilities include but are not limited to Provides operational and supervisory support to branches Reviews all documents from branches that require one-up approval to ensure in compliance and in good standing before submitting for approval and/or processing Manage queues of alert-based supervisory flags and works with the branches and branch leadership to address identified risks Compiles reports trend based analysis of product usage risk factors for assigned product areas Conducts marketing material review such as presentations social media use email campaigns others Assists Compliance testing for assigned risk/product areas Audits reviews Division level managers emails via Purview Collects audits Manager s Monthly reports for all W2 branches Ensures Managers comply documentation requirements Financial Advisors Performs other duties assigned + Experience Skills Bachelor Degree preferably related field Must have Series Licenses Prefer Series Knowledge understanding SEC FINRA MSRB State rules regulations Knowledge experience supervising trading activities Strong analytical problem solving critical thinking skills Proficient Microsoft Office Outlook Word Excel PowerPoint Organized multi-task manage multiple projects competing priorities without sacrificing accuracy efficiency Strong verbal written communication skills Ability work constant state alertness safe manner + Benefits Comprehensive medical dental vision coverage health plan options you family Health Savings Account company-sponsored contributions Flexible Spending Accounts FSA traditional dependent care Pre-Tax Commuter Benefits 401 k plan discretionary competitive company matching profit-sharing contributions Tuition reimbursement up year Paid Time Off Paid Sick Time may vary location weeks holidays Charitable Donation Matching Contributions Leave Parental Bonding Military Jury Duty Volunteer Employee Assistance Discount Programs
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