Oversees a broad range of supervisory and risk functions, ensuring adherence to business ethics, practices, and all relevant Federal, State, and Local laws, as well as firm policies and regulations
Job Summary
Oversees a broad range of supervisory and risk functions, ensuring adherence to business ethics, practices, and all relevant Federal, State, and Local laws, as well as firm policies and regulations.
Partners with Complex/Branch management teams within the assigned territory, overseeing supervisory functions, risk mitigation, and policy enforcement with Advisors and Branch Management.
Provides regular education and communication on processes and policies, promoting risk awareness and a compliant environment.
Matching Summary
Oversees a broad range of supervisory and risk functions, ensuring adherence to business ethics, practices, and all relevant Federal, State, and Local laws, as well as firm policies and regulations.
Skills & Requirements
Must-have
risk mitigation
policy enforcement
regulatory compliance
advisory support
Nice-to-have
professional demeanor
customer service attitude
fast-paced environment
Key Requirements
8 years of Administrative Manager or Supervision experience in financial services