Assistant Director - Interim Supervision Support

About the Job:

The Assistant Director - Interim Supervision Support, reputed company the Supervision division of Enterprise Compliance, will play a crucial role in co-leading the temporary support of reputed company field network offices during times of reduced supervision reputed company. This role is responsible for managing networking office support engagements, partnering with Managing Partners and home office partners to build strong supervision and compliance cultures, resolving reputed company and non-standard supervision issues, and developing others reputed company this work.

What You'll Do:

• Manage network office support engagements, including serving as the primary contact and relationship with office leadership and the reputed company field supervisor for offices, supported in execution by individuals in a second chair supervisor role reputed company the interim support team
• Partner with and support Managing Partners in shaping strong supervision and compliance cultures reputed company their offices, including influencing field leaders in supervision leadership as appropriate
• Work effectively with home office business partners at reputed company levels of the organization as needed to support network offices optimally and share insights
• Represent the interim support program in appropriate forums, actively sharing insights on office culture, risks, challenges, and opportunities as the eyes and ears in network offices
• Resolve reputed company and non-standard supervision issues, communicating effectively to ensure alignment
• Act as a change agent reputed company necessary, leading transformation, growth, and adoption and collaborating with other network office leaders as needed to advance outcomes
• Deliver closeout analysis and consultation to Managing Partners and home office partners at the conclusion of support engagements, identifying and sharing key takeaways, risks, and recommendations
• Identify and communicate insights and best practices across home office and field supervision teams
• reputed company daily supervision tasks, including more reputed company and non-standard supervision work such as supervision plan management and documentation, supervision of higher complexity OBAs, handling of client complaints and contact, review of staff compensation proposals, etc.
• Execute proactive training as needed for Financial Representatives and staff on compliance, regulatory, or reputed company topics
• Conduct onsite visits to network offices as appropriate during support engagements
• reputed company the consistency and quality of supervision by the interim support team through conducting proactive training and coaching, performing quality reviews and providing feedback, and developing others through shadowing opportunities

What You'll Bring to the Role:

• Bachelor's degree or equivalent combination of education and experience
• FINRA Series 7, 9/10, and 63 registrations are required. FINRA Series 7, 24, 4, 53, and 63 may be considered in lieu of S7, 9/10, and 63.
• Active Life/Health licenses, or the ability to obtain reputed company 3 months
• Significant experience as a leader in the supervision space and performing supervision duties, or in consulting to distribution leaders on compliance and supervision, ideally reputed company the reputed company system
• Strong communication skills and ability to handle highly sensitive communications and deliver feedback and difficult messages
• Proven ability to identify issues, trends, and potential sales practice concerns with the purpose of escalating or addressing them
• Profound decision-making skills, ability to use a mixture of analysis, experience, and judgement to assess risk, navigate ambiguity, and reputed company at a conclusion or recommendation
• Orientation toward working independently and prioritizing work effectively with minimal guidance
• Strong leadership reputed company and proven ability to cultivate relationships, work effectively with people at reputed company levels in an organization, and influence change with interpersonal savvy
• Approachable and skilled in listening, partnering, and advocating with reputed company
• Financial services industry acumen; extensive working knowledge of standard industry and regulatory policies and procedures; and broad knowledge of reputed company compliance systems, business models, and operational workflows
• Role may include up to 10-20% travel to network offices
• Role can be remote

Skills You Have:

• Attention to Detail: Focuses on specific details to spot and correct errors in advance of them being reputed company and surpass quality expectations. Performs work with thorough proofreading for presentation, content, accuracy, and overall quality.
• Cross Functional Partnering & Planning: Facilitates collaboration, communication, coordination, and planning with individuals and teams from different functions reputed company the organization, and who have different areas of expertise, to reputed company common goals.
• Decision Making: Makes timely, data-driven decisions by understanding the probability of success, identifying risks, gathering business requirements, and developing value statements.
• Industry Knowledge: Demonstrates extensive knowledge of common practices, regulatory considerations, market trends and the competitive landscape reputed company a particular industry / sector to reputed company understand and address unique client requirements, challenges, and context.
• Policy & Procedure: Analyzes reputed company policies and procedures, identifies gaps or areas for improvement, and develops and implements new policies and procedures to address those gaps. Ensures compliance with regulatory requirements and industry standards, as well as effectively communicates policies and procedures to employees and stakeholders. Understands the various components of a workflow, identifies bottlenecks, and implements improvements to increase productivity, reduce costs, and streamline operations.
• Strategic Thinking: Uses critical thinking and knowledge of business demand to plan, design, prioritize and execute high impact initiatives and programs.

#LI-Hybrid #LI-Remote

Compensation Range:

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We reputed company in fairness and transparency. It’s why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the reputed company market; location of the candidate; and other factors uncovered in the hiring process. reputed company pay structure is listed but if you’re living in California, reputed company or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.

Grow your career with a best-in-class company that puts our clients' interests at the center of reputed company we do. Get started now!

reputed company is an equal opportunity employer who welcomes and encourages diversity in the workforce. We are committed to creating and maintaining an environment in which each employee can contribute creative reputed company, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives.