Description
Responsibilities include but are not limited to:
- Monitor advisor activities to ensure adherence with firms' policies, regulatory requirements (FINRA, SEC, State Regulations) and industry best practices.
- Conduct daily, monthly, and quarterly supervisory reviews of advisors' activities, including transaction monitoring and account documentation.
- Partner with Compliance, including providing input to policy and supporting communication and adherence to policy, and building out the day-to-day regulatory supervision of US Wealth Management business.
- Supervise the opening and maintenance of client accounts to ensure adherence to KYC/AML.
- Partner with management to lead and run ad hoc projects and initiatives and provide operational support where needed.
- Approve new accounts, trade exceptions and investment recommendations within delegated authority levels.
- Maintain accurate records of review activities and prepare reports for regulatory examinations as needed.
- Identify and escalate potential regulatory or reputational risk in a timely manner.
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