**Essential Duties and Responsibilities:** + Performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; identifying training needs, evaluating performance; and interviewing and selecting staff. + Coaches and mentors subordinates, identifies training needs and recommends development programs. + Plans, assigns, monitors, reviews, evaluates and leads the work of associates. + Reviews progress of assignments with senior management. + Ensures all written customer complaints are acknowledged and responded to in writing. + Provides guidance, support and best practices in sensitive situations involving potential complaints to branch associates and key stakeholders. + Makes determinations of the Firm’s regulatory obligations regarding U4 amendments and 4530 complaint and settlement reporting. + Delivers difficult messages regarding U4 reporting to branch managers and financial advisors. + Makes decisions on settlement recommendations and referrals to business partners while considering liability, client fairness and regulatory risks. + Oversee multiple exams and requests from regulators and internal audit. + De-escalate situations with branch associates and division management. + Interprets, applies and recommends changes to organizational policies and procedures. + Establishes objectives and developing processes and procedures to ensure adherence to all compliance requirements. + Balances conflicting resource and priority demands. + Ensures effective coordination occurs between assigned Supervision function + Uses financial data and performance indicators to propose and/or assist with establishing control mechanisms and other improvement initiatives. Identifies trends and assists with implementing corrective action as necessary. + May deliver presentations at industry-related conferences. + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities** **Knowledge of:** + Advanced knowledge of investment concepts and strategies. + Reg BI standards. + Industry accepted best practices for advisory business. + Industry accepted general handling of client complaints. + Concepts, practices and procedures of securities industry and/or banking compliance; including suitability and other compliance/supervisory issues involved with retail activity. + Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies. + Company’s working structure, policies, mission, and strategies. + General office practices, procedures, and methods. + Investment concepts, practices and procedures used in the securities industry. + Principles of banking and finance and securities industry operations. + Financial markets and products. **Skill in:** + Leading, managing, supervising, and motivating team members. + Holding a team and individuals accountable to meet service level agreements and project deadlines. + Writing and editing written communication. + Creating and delivering PowerPoint presentations. + Effectively establishing relationships and communicating with all levels of management. + Attracting, developing, and retaining talent. + Multi-tasking on various projects. **Ability to:** + Plan, assign, monitor, review, evaluate and supervise the work of others. + Manage, coach and mentor others + Partner with other functional areas to accomplish objectives. + Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed. + Attend to detail while maintaining a big picture orientation. + Balance conflicting resource and priority demands. + Gather information, identify linkages and trends and apply findings to assignments. + Handles stressful situations and provide a high level of customer service in a calm and professional manner. + Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities + Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment. + Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels. + Establish and maintain effective working relationships at all levels of the organization. + Maintain confidentiality. + Maintain currency in assigned area of responsibility. **Educational/Previous Experience Requirements** **Education/Previous Experience:** + Bachelor’s degree (B.A/B.S.) in a related discipline and minimum of eight (8) years of experience in Supervision and/or the financial services industry. + OR ~ + Any equivalent combination of experience, education, and/or training. **Licenses/Certifications:** + Series 7 and 24 licenses for assigned functional area preferred or the ability to obtain within six months. + Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.