**Essential Duties and Responsibilities:** + Monitors and investigates electronic branch or home office communications through the use of various reports and systems. + Pro-actively monitors and ensures discussions pertaining to activities in clients’ accounts and activities of financial advisors meet firm requirements and standards. + Communicates findings and manages concerns in a professional manner whether that be written or orally. + Interfaces with senior advisors and management to mitigate supervisory concerns regarding branch office managers/financial advisors and works together to address these concerns. + Performs other duties and responsibilities as assigned + Conducts outreach to monitored staff related to confirmed issues or inquiries **Qualifications** **Knowledge, Skills, and Abilities:** **Knowledge of:** + Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases. + Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies. + Detail orientation to ensure the regulatory liability is limited, without impairing workflow. + Utilizing business-appropriate phone manners. **Ability to:** + Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision. + Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers/Financial Advisors. + Establish and communicate clear directions and priorities. + Provide a high level of customer service. **Educational/Previous Experience Requirements:** + Bachelor’s degree (B.A) in a related discipline in retail securities sales, sales management, operations, or compliance. ~or~ + Any equivalent combination of experience, education, and/or training approved by Human Resources. **Licenses/Certifications:** + SIE preferred, provided that an exemption or grandfathering cannot be applied. + Series 7, 66, 24 Required within 18 or a maximum of 24 months of hire, or an agreed upon timeframe with management