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Benjamin F. Edwards · 4 hours ago

Central Supervision Associate

St Louis, MO

Full-time

Onsite

Mid Level

3+ years exp

Benjamin F. Edwards is a firm dedicated to putting clients' interests first while ensuring compliance with industry regulations. As a Central Supervision Associate, you will manage risk through oversight of activities, product reviews, and governance, while collaborating with supervisors and corporate divisions.

ConsultingFinancial Services

Growth Opportunities

Responsibilities

Perform centralized supervisory functions such as insurance transaction review, complex product supervision and correspondence review to ensure proper adherence to firm and industry policy

Approve new accounts and account maintenance items pursuant to firm policies

Perform trade and account reviews for brokerage and Advisory accounts; deposits and disbursements reviews; review and approval for new accounts and account updates

Address sensitive supervision issues with the appropriate Regional Directors, Branch Managers and Financial Advisors

Identify supervisory areas of concern, ongoing issues, and reoccurring patterns at an employee, office, or management level and bring these to the attention of the appropriate individual(s)

Develop and document procedures and informational internal communications

Demonstrate sound and consistent supervisory judgment based on a thorough and systematic review of information available

Qualification

SEC Regulations knowledgeFINRA Regulations knowledgeCompliance experienceElectronic supervisory systemsConflict managementDecision-making skillsAnalytical skillsWritten communicationVerbal communicationInterpersonal skillsConfidentiality

Required

Demonstrated knowledge of Rules and Regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and other Federal and State securities regulatory and banking agencies

Ability to handle information professionally and confidentially

Solid conflict management and decision-making skills; ability to act independently

Ability to interact with all levels of branch associates and business units

Ability to utilize various electronic supervisory systems and exception reports

Excellent written, verbal, and analytical skills

Minimum Education Required: Bachelor's degree or equivalent work-related experience of 9 + years

Minimum Work Experience Required: 3 years Compliance or Supervision experience

Minimum Required: Series 7 and 66 at time of hire