Investment Advisors Central Surveillance Principal
Location: Creve Coeur, MO
Name: Brian Hannah
Phone: (314) 269-8067
The main purpose of this position is to provide remote sales surveillance and support within the Company Investment Management (SIM) assigned branches and support branch offices with ongoing monitoring to ensure compliance with internal policies, applicable laws and regulations.
- Communicate compliance policies and provide guidance regarding securities regulations to associates and internal business/operation units.
- Provide surveillance to specific sales activities on behalf of field managers such as email review and other communications with the public.
- Assist in the oversight of the Company's Investment Management employees activities.
- Create written reports and spreadsheets for review by other associates and management.
- Conduct various types of research in connection with rules, regulations, and statistical information.
- Track and confirm documentation for other associates and management. Identify, research, and escalate trends and patterns based on review of client and sales force data.
- Work closely with field management and the sales force by establishing and maintaining positive working relationships to ensure business is conducted within guidelines set by the firm and industry regulations.
- Review and resolve issues escalated from Level 1 principals.
- Escalate issues as needed to the appropriate management level for supervision and resolution.
- Maintain a high level of intellectual curiosity; ask pertinent questions to gather relevant facts surrounding a problem, issue or objective; weigh the relative importance, adequacy, and validity of information to form fact-based opinions, solve problems and make sound recommendations.
- Perform other duties as assigned.
KNOWLEDGE, SKILLS AND ABILITIES REQUIRED:
- Strong attention to detail and organizational skills.
- Intermediate knowledge of financial markets and brokerage industry.
- Ability to stay current with changes in regulations and industry practices.
- Excellent written and verbal communication skills.
- Ability to maintain a high degree of confidentiality.
- Ability to handle multiple tasks and work in a fast paced environment.
- Strong research/problem solving/analytical skills.
- Intermediate level proficiency with Microsoft Word, Excel, and Outlook.
MINIMUM EDUCATION & EXPERIENCE:
- Bachelor's degree in Finance, Business, or related field, or equivalent combination of education and experience required.
- 2+ years experience in a compliance capacity or related function within a financial services/brokerage firm is required.
- Active Series 7, Series 24 and Series 66 licenses