Provide supervision over the securities activities of Branch Office Supervisors and Registered Representatives in an assigned region.

Responsibilities

  • Provide direct supervision of Branch Office Supervisors and Registered Representatives for broker dealer and investment advisory functions; provide supervision, guidance, advice, and training.
  • Maintain files required by the WSPs to be maintained at the branch location for each Branch Office Supervisor and Registered Representatives.
  • Assist in the creation of new branch offices and the development of existing offices.
  • Participate in regulatory examinations within the assigned region.
  • Review and accept or deny requests for non-registered locations.
  • Monitor the activities of Branch Office Supervisors, Registered Representatives and NRLs within the region in accordance with the Firm’s written supervisory procedures.
  • Monitor the performance of Branch Office Supervisors to ensure they are able to properly supervise the number of Registered Representatives assigned to them.
  • Designate, reviews and remove Branch Office Supervisor status as needed.
  • Makes decisions for acceptance or denial of new applicants and, when necessary, for the suspension or termination of Branch Office Supervisors and Registered Representatives.
  • Visit branch offices periodically to review and monitor for adherence to company policies and procedures.
  • Review annual audit report and implement procedural changes to ensure that identified deficiencies are not repeated.
  • Reviews written correspondence and communications with the public in accordance with company policies as needed.
  • Review and approve, or deny, outside business activities and private securities transactions requested by Branch Office Supervisors and Registered Representatives.
  • Perform final review and acceptance of Form U4s for applicants, including interviews with the sponsoring Branch Office Supervisor and/or applicant, and/or requests for additional supporting documentation. Approve/recommend Heightened Supervisory Agreement (HSA), or refer to Special Review Committee.
  • Implement, monitor, and dissolve HSAs within the region.
  • Review and accept, or deny, requests from Branch Office Supervisors for assignments or reassignments of Registered Representatives.
  • Monitor Registered Representatives compliance with Firm and regulatory continuing education requirements.
  • Review and monitor Branch Office Supervisor and Field Representative completion and compliance with the Firm’s annual compliance meeting and Firm element requirements
  • Review and monitor Branch Office Supervisor and Field Representative emails to ensure compliance with Firm policies.
  • Handle calls and inquires during regions office hours to ensure inquiries are resolved satisfactorily, including incoming calls on the RBM call line.
  • Refer to and provide input to the Compliance Division on regulatory violations, sales practice improprieties, or actual or potential violations of Firm policies and/or regulatory requirements as needed.
  • Periodically attend public events conducted by TFA Field Representatives to ensure compliance with Firm policies.
  • Create, facilitate and promote Firm training programs as deemed necessary by management.
  • Perform additional supervisory and compliance functions as needed.


Qualifications

  • Bachelor’s degree in a business-related field or equivalent experience
  • Five years of securities industry related experience
  • FINRA Series 6 and 26 (and obtain 7 and 24 licenses within one year)
  • In-depth knowledge of compliance, suitability issues, securities products, and FINRA regulations
  • Strong written/oral communication and interpersonal skills
  • Facilitation and training experience
  • Organizational skills and the ability to prioritize multiple priorities
  • Proficiency using MS Office projects


Preferred Qualifications

  • FINRA Series 24, 65/66, 53/51


Working Conditions

  • Office Environment
  • Evening/weekend hours as needed
  • Extensive Travel >50%

The Salary for this position generally ranges between $67,000 - $87,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion