About this role
Do you enjoy putting pieces together to understand the bigger picture and partner to solve complex issues? If so, there is an exciting career opportunity waiting for you in our Field Supervision Department! Description: The Field Supervision Department plays a critical role in achieving the Compliance Division's purpose of promoting our client's best interests and choices by partnering to improve our culture of compliance and enable the best experience for all. Our associates are our greatest asset, and the opportunity to increase our client impact is directly related to our success in attracting, retaining, and developing a talented and diverse workforce. Field Supervision Officers are registered with FINRA as designated supervisory principals to enforce firm and regulatory compliance rules utilize extensive electronic processing systems and exception reports to complete work and provide support to branch offices regarding client activity, firm policies, and industry regulations. Key Responsibilities: Review of non-supervisory and basic supervisory client and branch activity to identify fraudulent or manipulative activity. Review of electronic communication for branch teams and home office associates. Verify account information and accuracy through contacts with our clients and branch teams. Identify supervisory issues, trends, and potential concerns in branch activity and effectively communicate them to clients, Financial Advisors, and home office associates. Develop and deliver training, coaching and feedback.