**Essential Duties and Responsibilities** + Lead strategic initiatives and partner with cross-functional teams to enhance supervisory practices. + Demonstrate proactive, vocal, and visible leadership by setting clear expectations, driving accountability, and fostering a culture of transparency and engagement across teams and stakeholders. + Collaborate closely with Risk, Legal, Compliance, and PCG to ensure supervisory practices align with regulatory expectations, mitigate firm risk, and support advisor and client outcomes. + Develop and implement a robust supervisory framework for investment advisory programs. + Monitor regulatory changes and ensure firm-wide compliance across advisory activities. + Foster a continuous improvement mindset by proactively identifying and executing process enhancements that optimize supervisory effectiveness, increase efficiency, and support scalable growth. + Manage, mentor, and develop a team of supervisory professionals. + Provide training, guidance, and career development support to team members. + Deliver presentations and reports to senior leadership and stakeholders. + Lead or contribute to additional projects based on expertise, including program design and implementation. **Knowledge, Skills, and Abilities** **Knowledge of** + Advanced investment concepts and securities industry procedures. + Investment Company Act of 1940 and SEC regulatory environment. + Financial advisor business models and supervisory needs. **Skill in** + Strategic and analytical thinking to align regulatory, firm, advisor, and client needs. + Establishing KPIs and linking them to business outcomes. + Building and maintaining collaborative relationships across departments. + Influencing decisions and communicating effectively at all levels. + Coaching and leadership to support team growth and performance. + Working knowledge of how technology can support the investment advisory supervision function. **Ability to** • Develop and execute strategic plans aligned with company goals. + Navigate organizational structures and build consensus. + Lead change initiatives and foster innovation. + Communicate clearly across diverse audiences. + Work independently and collaboratively in a dynamic environment. **Educational/Previous Experience Requirements** **Education/Previous Experience** + Bachelor’s degree or related experience + 12+ years of Supervision experience, preferably in a retail financial services firm + ~or~ + Any equivalent combination of experience, education, and/or training approved by Human Resources **Licenses/Certifications** + Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe. + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7, 24, 65 or 66 Required