BCI - Brokerage Consultants Ltd.

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They run deep. Since our inception we've kept our focus trained exclusively on the financial industry, and we've built a vast network of contacts in the process. Let us put those resources to work for you. We'll connect you with the most current job openings at the most desirable companies in Chicago or nationwide.

Job Order:
1216-281

Job Type:
Permanent

Title:
Supervision Manager (1216-281)

Location:
Los Angeles, CA

Description:
The Manager of Supervision manages a group of Supervision Specialists who
serve as the Designated Supervisor/OSJ Manager for field Regional Directors
and OSJ Managers. This leadership role provides guidance, coaching and
mentoring to the team; and acts as an escalation point for questions or
complicated transactions. This position also dictates heavy participation
in projects, initiatives, and follow up regarding surveillance, trends and
patterns. The Manager of Supervision reports directly to the Vice President,
Head of Supervision.

RESPONSIBILITIES:
Serve as point of escalation and guidance for day-to-day items as well as
for items reviewed for suitability to include Variable Annuities, Equity
Index Annuities, Mutual Funds, and product switches
Act as a conduit of information between the Home Office and the field by
training on Designated Supervisor calls, doing one-on-one training sessions
Assist with regulatory exams, audits, and requests as well as assist with
other internal investigations and reviews relative to supervised advisors
and OSJs
Engage in home office visits and trainings with prospective and active OSJ
Managers in order to promote company supervisory practices and to discuss
the firmís expectations with respect to supervision
Lead projects requested by Upper Management that involve establishing new
responsibilities/processes, tools, and applications to the Supervision
Department
Assist in promoting recruiting growth and expansion efforts by handling all
duties involved in bringing on supervision for a new group
Monitor activities and performance of field OSJís, branch office
managers/supervisors to ensure proper supervision of representatives
Make recommendations for recruitment and hiring of Home Office Designated
Supervisors and any employees for the Supervision Department
Maintain ongoing positive relationship with Regional Directors, OSJ
Managers, advisors and internal colleagues in collaboration with firmís
executive team
Review email and correspondence communications for the Supervision team
Review check logs for the firm
Sign change of rep forms for the firm
Maintain queues in Docupace for documents requiring principal review
Follow up on audit findings for the Supervision Department and proactively
addresses potential compliance issues to minimize risk to the client,
registered representative, OSJ, and firm
Monitor, report and enforce internal controls to ensure compliance with
industry standards and the firmís policies and procedures
Work on Trade Review for the firm
Help identify suspicious trend and patterns of practices and implement
corrective action when needed
Develop and train new OSJ branch managers and staff with regards to broker
dealer policies and procedures for compliance and supervision
Work in conjunction with IT to beta test and provide feedback on new
technology created for the Supervision Department and Home Office
supervisors
Serve as point of reference when discussing corrective action

REQUIREMENTS:
Bachelorís degree in Finance
Ten years of financial services experience in a related support, training or
supervisory role
FINRA Series 7, Series 24, Series 63, Series 65 (or Series 66)
FINRA Series 53 or Series 51, or obtain with 90 days of hire
10+ years of experience with securities products, FINRA regulations,
compliance and suitability review practices
Strong MS Office background (Word, Excel)
Proficiency in Smarsh, Sungard, Docupace, Albridge, and NetEx 360 preferred

Category:
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Contact:
zach@bcius.com