Supervision Analyst

Primary Job Functions:

• Have a thorough understanding of firm policies and regulatory guidelines, communicating them effectively to others.
• Review new business and trade alerts daily for completeness and compliance, providing principal approval or resolving deficiencies.
• Conduct thorough reviews of transactional business and maintain positive, trust-based relationships with advisors.

Compliance and Monitoring:

• Participate in training presentations for new acquisition teams regarding Compliance policies and Supervision.
• Monitor and follow up on outstanding tasks and Salesforce QC reports to identify improperly submitted business.
• Escalate issues to the Supervision Manager and collaborate on trends, case studies, and regulatory changes.

Administrative and Team Duties:

• Attend weekly team meetings and monthly Compliance department meetings.
• Handle other projects and delegated OSJ duties, including reviewing advisor email and client correspondence.
• Review client refund and trade error cases, as well as general support cases, ensuring timely resolution.