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SFA Partners · 1 day ago

Broker Dealer Supervising Principal

Atlanta, GA

Full-time

Onsite

Senior Level

5+ years exp

SFA Partners is seeking an experienced compliance and supervision professional to report to the Chief Supervisory Officer. The role involves providing supervision and compliance services to OSJ Managers and financial advisors, along with participating in general compliance functions such as procedure development, training, and surveillance.

AdviceConsultingFinanceFinancial Services

Responsibilities

Review for common risk and regulatory issues and approve business conducted by OSJ managers

Supervisory review of trade blotters

Supervisory review of new accounts and material account changes

Supervisory review of managed accounts

Supervisory review of advisory agreements and their implementation

Review of certain activities of financial advisors associated with independent investment advisers, including their managed accounts held away

Some supervisory review of email correspondence (Global Relay/App River)

Work with supervisees to address suitability concerns and to educate on processes and procedures

Work with Compliance to address communications, complaints, and other deficiencies

Assist in development of Firm Element Continuing Education program and compliance training through on-going assessment of training needs and issues, reviewing RegEd courses, and developing OSJ compliance communications

Review quarterly statements supervisees’ personal securities accounts and monitor for conflicts

Facilitate timely completions of annual compliance requirements (Firm Element, Code of Ethics, OBA disclosures, and Annual Compliance Questionnaires)

Conduct branch office examinations, as needed

Maintain an ongoing positive relationship with all financial advisors in collaboration with the Chief Supervisory Officer

Promote efficiencies and cooperation across all departments

Promote the goals and culture of the firm in serving the independent financial advisor in a compliant, professional, and user-friendly manner

Other duties and responsibilities as may be assigned

Qualification

Broker-dealer supervisionSeries 7Series 24FINRA RulesInvestment products knowledgeData analysisMicrosoft Office proficiencyInvestigative skillsCommunication skillsDetail-orientedWork independently

Required

Position requires 5+ years' experience in broker-dealer and/or investment adviser supervision or similar role

Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds

Series 7 and Series 24

Strong verbal and written communications skills

Ability to analyze large amounts of trade data and to think through complex compliance issues

Proficiency with Microsoft Office products (Word, Excel, PowerPoint)

Ability to travel to advisor offices and/or conferences

Must be detail-oriented, investigative and have the ability to handle a high volume of work independently in a dynamic environment

Knowledge of FINRA Rules and Rules under Investment Advisers Act