Steward Partners · 5 hours ago

Senior Supervision Analyst

United States

Full-time

Remote

Entry, Mid Level

1+ years exp

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Hiring Manager

Jennifer D.

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Responsibilities

Review securities transactions on the electronic trade blotter including but not limited to equities, fixed income, mutual funds, UITs, municipal securities, options and 529 transactions; analyze transaction activity to identify potential sales practice concerns and respond accordingly to any matters requiring further attention

Address account-level suitability alerts for brokerage and advisory accounts

Identify matters that need to be escalated to the Divisional Supervisory Officer

Run reports and collect data in response to regulatory inquiries; as determined by the Compliance department

Coordinate with Supervision leadership in preparing ongoing data/metrics reporting

Support the evolution and enhancement of supervisory policies, procedures, and systems in collaboration with Operations and Compliance

Perform reviews and analysis through the firm’s compliance systems and other supervisory reports; present data and make recommendations to Supervision Management

Maintain books and records and ensure proper documentation and notes are on file

Identify, investigate, and facilitate resolution of client complaints; in conjunction with the Compliance Department

Maintain a strong level of knowledge on industry trends and areas of focus to ensure appropriate supervisory practices are in place

Contribute to projects that upgrade/implement new regulatory related systems in addition to special projects as needed

Maintain the evolution and enhancement of supervisory policies, and procedures, and systems in collaboration with input and feedback to Operations and Compliance departments

Qualification

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Financial services experienceSeries 7Series 24Series 63Series 65Retail brokerage knowledgeInvestment advisory knowledgeMicrosoft ExcelMicrosoft PowerPointMicrosoft WordMicrosoft ProjectMicrosoft SharePointIndependent self-starter