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First Command Financial Services, Inc. · 3 hours ago

Supervision and Communication Principal

Fort Worth, TX

Full-time

Onsite

Mid, Senior Level

3+ years exp

First Command Financial Services, Inc. is seeking a Supervision and Communication Principal responsible for monitoring and reviewing marketing materials and digital communications. The role ensures compliance with regulatory standards and internal policies while collaborating with various teams to improve processes.

BankingConsultingCrowdfundingFinancial Services

Growth Opportunities

Hiring Manager

Jordyn Scelsa

Responsibilities

Conducts supervisory and compliance duties including regularly monitoring and reviewing First Command digital communications and branded social media sites through ongoing supervision of registered representatives’ social media presence to support reputation and compliant management processes

Collaborates with the Associate Director, Marketing Principal, and members of the Legal and Compliance teams to carry-out and continuously improve upon the processes and procedures related to marketing, social media and digital communications

Diplomatically communicates concerns, proactively assists in correcting materials and communications to make them compliant within regulatory standards and internal policies

Utilizes and maintains the Social Media, Digital Communications, and Website Surveillance Solution including:

Reviews and approves social media profiles for First Command business purposes

Responsible for decommissioning of participants when the business need no longer exists

Works with personnel to identify any exception and come up with the right course of action to remediate/resolve

Conducts expeditious and effective review of internal and external content for brand, reputation, and regulatory compliance

Provides principal review and approval of one-time-use items submitted by Advisors and/or their staff members

Principal supervisory review of electronic communications to ensure compliance with all applicable regulations, as well as company policies and procedures. Provide support for internal and external audit requests as needed

Provide field force support through training and education on topics such as: regulatory, firm policies and procedures, and licensing issues

Daily monitoring of Salesforce cases and respond as needed

Identify and recommend ideas for process and procedure improvements

Be a thought leader through the ability to build and maintain productive working relationships with personnel across the organization

Encourages an atmosphere of service, trust and teamwork between the Supervision Team, field force and with internal business partners using effective communication skills

Assists with tasks and projects and other duties as required

Qualification

FINRA complianceSEC complianceDigital communications supervisionSocial media supervisionFinancial Advisor experienceWritten Supervisory Procedures knowledgeCompliance Manual knowledgeAnalytical communication skillsDecision-making abilityAttention to detailTime management skillsConflict resolution skillsTeamwork attitude

Required

Bachelor's Degree required in a related field (industry experience may be considered)

3-5 years of experience in the following areas: FINRA and SEC compliance, Supervision of digital communications, social media, marketing, and advertising, Supervision of registered personnel

Must possess FINRA Series 7, 24 and 66 licenses or be able to obtain within 90 days post-hire

Must have appropriate Life and Health Agent license or be able to obtain within 90 days post-hire

Ability to be an initiative-taker and work independently

Strong decision-making ability and attention to detail

Outstanding time management and organizational skills. Ability to operate in a fast-paced environment and must have the ability to make decisions based on sound business judgment with information at hand while quickly adapting to new circumstances presented

Conflict resolution skills

Must have detailed knowledge of the Written Supervisory Procedures (WSP) and the Compliance Manual (CM)

Must exhibit the ability to execute at a high level with excellent quality and contribute to a high-performance team

Must exhibit strong analytical written and verbal communication skills for resolving problems

Must encourage an atmosphere of service, trust, openness, communication, and an attitude of working together to achieve mutual objectives

Intellectually curious and will model a culture of continuous learning, mentoring and coaching while encouraging an agile way of working