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Senior Advisor, Supervision – Heightened Supervision and Conduct - Req. 1900719


Job Summary:

Under general direction, with a high level of autonomy, uses extensive knowledge and skills in industry regulations obtained through education, experience, specialized training and/or certification, to analyze complex data associated with targeted reviews in order to detect patterns, trends and/or possible rule/policy violations, and report on the findings associated with those reviews alongside recommended actions. Leads major projects, programs or processes with significant business impact that may involve cross-functional teams. Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for unreviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. End results are evaluated for achieving goals and objectives. Extensive contact with internal customers is required to identify research, analyze, and resolve complex supervisory issues.

Essential Duties and Responsibilities:

• Conducts targeted reviews of sales related and non-sales related activites as assigned or needed.

• Makes reccommendations alongside key partners based upon the outcome of those targeted reviews.

• Tracks and reports the status of reviews to key partners.

• Maintains the books and records associated with reviews.

• Reports progress of assignments to Senior Management.

• Oversees supervision exception reporting processes and determines any corrective actions.

• Interprets and applies organizational policies and procedures as needed.

• Establishes objectives and collaborates with Management to develop and enhance processes and procedures related to targeted reviews, and associated actions.

• Balances conflicting resource and priority demands.

• Uses financial data and performance indicators to propose and/or assist with establishing control mechanisms and other process improvement initiatives. Identifies trends and assists with implementing corrective action as necessary.

• Performs other duties and responsibilities as assigned.

• Ability to take and maintain detailed discussion minutes for Senior Manager.




Knowledge, Skills, and Abilities:

Advanced knowledge of:

• Concepts, practices and procedures of securities industry and/or banking compliance; including suitability and other compliance/supervisory issues involved with retail activity.

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC);

• General office practices, procedures, and methods.

• Investment concepts, practices and procedures used in the securities industry.

• Principles of banking and finance and securities industry operations.

• Financial markets and products. 

Skill in:

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.

• Identifying and applying appropriate supervision monitoring procedures.

• Advanced skills in preparing oral and/or written reports. 

• Excellent Investigation skills to reveal sales practice issues and irregularities.

• Highly analytical.

• Making rule-based and analytical decisions.

Ability to:

• Partner with other functional areas to accomplish objectives.

• Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.

• Attend to detail while maintaining a big picture orientation.

• Balance conflicting resource and priority demands.

• Gather information, identify linkages and trends and apply findings to assignments.

• Handles stressful situations and provide a high level of customer service in a calm and professional manner.

• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

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

• Establish and maintain effective working relationships at all levels of the organization.

• Maintain confidentiality.

• Maintain currency in assigned area of responsibility.

Educational/Previous Experience Requirements:

• Bachelor’s Degree (B.A.) in Accounting, Finance or related field and a minimum of five (5) years of experience


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


• Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.

•         Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.