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SVP, Global Equities Supervision - Req. 1900586


Job Summary:


Under general direction with a high level of autonomy, uses extensive knowledge and skills related to the business, products, services, operations and regulation of the financial services industry to effectively and efficiently establish and maintain a program for the Supervision function.  Primary responsibility will be to lead a team ensuring that an effective and reasonably designed supervisory program is established across the Equities Sales & Trading platform. Will also engage on and support large projects, programs or processes with significant business impact involving cross-functional teams.  Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions.  Extensive contact with senior management, business personnel, second line of defense partners and industry colleagues, is required to provide comprehensive solutions to complex problems or needs.


Essential Duties and Responsibilities:


• Serves as a member of the leadership team in developing short and long term goals and initiatives to achieve strategic vision for Global Equities.

• Leads and develops a high performing team of professionals who provide daily direct and delegated business regulatory supervision and support to the Global Equities Sales & Trading departments consisting of sales persons, sales traders, principal traders, and support personnel who are either employees or affiliated independent contractors.

• Creates and maintains framework for department supervisory policies and processes including escalation and exception management.

• Provide input on performance issues regarding supervisory issues and other matters as detected while performing day to day operations.

• Being able to effectively challenge as well as apply a strong sense of subjective interpretation is required.

• May represent Supervision on major firm level project teams and at key corporate meetings.

• Provides subject matter expertise in the development of firm wide training and education.

• Ensures department has complete and accurate Written Supervisory Procedures per FINRA Rule 3110.

• Develops strong relationships with Control partners across the organization including the Global Equities & Investment Banking Business Unit Risk Manager, Compliance, Legal, Operations and Risk Management departments.

 • Identifies, reports and escalates risk issues, including compliance issues.




Knowledge, Skills, and Abilities:

Advanced knowledge of:

• Features, benefits, and risks associated with the various financial products and services traditionally sold to retail clients at different affluence and sophistication levels.  Additionally, knowledge of retail banking and trust products and services is a plus.

• Retail brokerage and dual registrant business models.  Experience with bank holding companies is a plus.

• Securities supervisory concepts, practices and procedures.

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); Municipal Securities Rulemaking Board (MSRB) and other regulatory and state securities regulatory agencies; sufficient to perform the functions of this job.

Skill in:

• Leadership and training with project and change management emphasis a plus.

• High order reasoning and decision-making, involving the interpretation of regulatory rules and compliance policies.

• Supervising/managing a large department

• Leading significant operating model changes is preferred

Ability to:

• Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently. 

• Independently manage  multiple projects and tasks;

• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels.

• Balances conflicting resources and priority demands.

• Ensure effective coordination  between assigned area and other functional areas

• Establish and communicate clear directions and priorities. 

Educational/Previous Experience Requirements:

• Bachelor’s degree (B.A) in a related discipline and fifteen (15) years of experience in Supervisory/regulatory functions in the financial services industry and a minimum of ten (10) years of managerial experience.


• Any equivalent combination of experience, education, and/or training approved by Human Resources.


• SIE required provided that an exemption or grandfathering cannot be applied.

• FINRA Series 7, 24, and 14 licenses.