Position Overview:

The Agency Supervisory Officer (ASO) serves as the primary supervisory point of contact within the agency, ensuring adherence to firm and regulatory compliance requirements through ongoing monitoring, reporting, and advisor support.

Key Responsibilities:

• Oversee daily, weekly, monthly, and quarterly supervisory tasks, including correspondence review, Proofpoint monitoring, and sales material approvals.
• Review client files, monitor transactions, and ensure adherence to Regulation Best Interest (Reg BI) and other regulatory requirements.
• Conduct annual interviews, detached office inspections, and personal interviews of registered representatives.
• Manage the supervisory tracking and monitoring (STM) system, including action items, signoffs, and trending reports.
• Oversee and approve new advisor onboarding and offboarding, ensuring regulatory requirements are met.
• Strong written and verbal communication skills.
• Ability to work independently and collaboratively with advisors and staff.
• Review and approve outside business activities, personal securities transactions, and gift/entertainment reporting.
• Ensure proper documentation and escalation of complaints, disciplinary actions, and supervisory plans.
• Facilitate agency training related to compliance and regulatory changes, ensuring advisors and staff understand expectations.
• Coordinate with the Field Compliance Consultant and Regional Supervisory Director to ensure alignment with firm policies.
• Act as a resource for advisors and staff, guiding compliance and supervisory matters.

Performance Metrics & Success Indicators:

• Timely and accurate completion of supervisory reviews and reports.
• Effective oversight and tracking of compliance activities.
• Adherence to firm and regulatory supervisory requirements.
• Successful management of compliance escalations and issue resolution.
• Positive feedback from advisors and agency leadership on support and communication.

Required Qualifications & Skills:

• 5+ years of supervisory and compliance experience in financial services.
• Active FINRA registrations (LAH, Series 7, 24, 63/65 or 66). (52 & 53 will be required down the line)
• Strong working knowledge of compliance requirements and supervisory processes.
• Excellent organizational and problem-solving skills.

Benefits:

401(k) 401(k) matching Dental insurance Health insurance Life insurance Paid time off Vision insurance Application Question(s): This is an in office position- confirm understanding

Experience:

Compliance:

3 years (Required)

License/Certification:

Series 24 (Required) Series 7 (Required) Series 6 (Required)

Work Location:

In person