Supervisory Control Specialist
$92,000–$145,000 year
On-siteSan Francisco, California, United States or Palo Alto, California, United States
Job Summary
Conduct risk analysis and consult on policies, controls, tools, and training within the private client group. Identify synergies to maximize efficiencies and evaluate resources to monitor high-risk investment strategies and complex products. Review controls, analyze data to identify trends, and present findings through meaningful statistics to guide process changes and technology enhancements. Collaborate with Financial Advisors, Regional Management, and Business Units to resolve complex analysis and implement best practices. Exercise independent judgment to address concerns, provide solutions, and make sound risk decisions aligned with firm compliance and regulatory policies.
Required Qualifications
- 2+ years of Supervisory Control, Corporate Insurance Risk, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10 (or 24 where applicable), and 63 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
- US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position
- Compliance with state law registration and licensing requirements is mandatory
- This role requires a FINRA supervisory license
- Candidates must successfully complete and pass a background check prior to hire
- Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents
- This position is not eligible for Visa sponsorship
- This role requires... working in the assigned office location for at least one year from the hire date
Desired Qualifications
- 2+ years of financial services industry experience
- Experience in compliance or broker-dealer governance
- Experience partnering with business, compliance and supervision partners to address concerns, resolve complex issues and provide solutions
- Ability to exercise independent judgment to identify and resolve problems
- Ability to interact with all levels of employees and management across the organization and Independent Offices
- Excellent verbal, written, and interpersonal communication skills
- Negotiating, conflict-management, and decision-making skills
- Ability to take initiative, work independently, identify opportunities, and implement change
- Ability to manage multiple and competing priorities
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