Lead Advisor is a wealth management recruiting and consulting firm. This role is for one of our clients in Poughkeepsie, NY.
We are seeking a distinguished compliance leader to work exclusively with our elite advisor team, driving compliance excellence and strategic insight.
Our client is a national wealth management firm with an intentionally structured team of experts who serve high-net-worth insurance, brokerage, and advisory clientele. This is an unprecedented opportunity to become a cornerstone in a team celebrated for its sophistication, elevating and redefining the already high standards of compliance and risk management.
As the Director of Supervision for this firm, you will report to the network office Managing Partner and will collaborate with all supervision and firm team members, even when geographically dispersed work locations or cross-territory contract conditions exist. Your proven experience in compliance, supervision, risk management, and client engagement will enable you to proactively identify opportunities and mitigate challenges, while collaborating closely with the firm, cross-territory network office leaders, and corporate partners to understand the intricacies of their practice and design tailored solutions.
Key Responsibilities:
· Primary Contact for Firm: Act as the principal point of contact for compliance-related matters, ensuring seamless communication and collaboration.
· Business Supervision: Oversee transactions and compliance systems, ensuring accuracy and alignment with regulatory standards.
· Proactive Training: Provide consultative services and training related to risk management, regulatory change, policies, procedures, and documentation requirements to all levels of team members.
· Escalation Management: Collaborate with corporate compliance experts, legal teams, and field leaders on escalations and sensitive requests, as we work to derive solutions to complex challenges. Clearly communicate and document action plans, responsibilities, and results with all involved parties.
· Compliance Liaison: Serve as the liaison between the firm and the local network office supervision team and corporate compliance function, enabling cooperation and timely communication in a fast-changing environment.
· Supervision of Firm Members: Supervise all team members, regardless of their primary contract relationship, fostering a cohesive and high-performing team.
· Facilitate Cross-Territory Communication: Enhance communication across all managing partners and supervisors, ensuring alignment and synergy on compliance and strategic goals.
· Holistic Risk and Opportunity Management: Synthesize information, identify trends, and work beyond individual transactions to uncover the entire risk and opportunity landscape.
Duties:
· Participate in local leadership meetings to provide relevant updates, ensure transfer of pertinent information, and collaborate with other network office leaders including network office supervisors, growth officers, and marketing officers to curate in a cohesive leadership team.
· Attending team meetings to fully understand the client base, business objectives, team roles and responsibilities, and long-term strategy.
· Maintain books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices, and other field locations as required by FINRA and applicable regulators.
· Complete on-site inspections for all firm member locations, client file reviews, and compliance-related interviews for all members. Deliver results and facilitate any necessary remediations.
· Perform review and supervision of multiple systems, including escalated email and social media correspondence, transaction and trend supervision, and compliance monitoring systems.
· Support for onboarding and training team members, offboarding, and navigating contract, license, and registration processes.
· Develop supervisory plans to address non-standard behavior or sales practice concerns when applicable.
Knowledge, Skills, Abilities:
· Active and valid FINRA Series 7, 9/10, and 63 registrations are required; Series 7, 24, 4, 53, and 63 may be considered in lieu.
· Active Life/Health licenses, or the ability to obtain within 3 months.
· 5+ years of progressive industry experience with an emphasis in compliance and supervision.
· Broad understanding of marketing , operations , and practice management to help firm identify solutions
· Strong working knowledge of standard industry and regulatory policies and procedures.
· Sound decision-making skills; demonstrated success using analysis, experience, and judgment to arrive at a conclusion or recommendation.
· Demonstrate strong sense of urgency when completing tasks, while still performing at the highest levels.
· Exceptional written and oral communication skills and experience handling highly sensitive communications.
· Maintain confidentiality and exercise discretion, with a clear understanding of what information can be shared across organizations and with peers and what information is proprietary.
· Ability to identify issues, trends, and potential underlying causes with the purpose of addressing them.
· Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills.
· Ability to prioritize workload and seek support when appropriate, as well as work across several teams.
What makes you a great fit for our team?
· Orientation toward working independently with minimal guidance and high integrity.
· Highly evolved communication and presentation skills across audiences and mediums.
· Collaborates with other leaders and integrates compliance into team priorities.
· Skilled in listening, partnering, and advocating.
· Strong relationship management skills with the ability to adapt approach to different people.
· Ability to adapt quickly to the impacts of regulatory changes, environmental factors, or other miscellaneous policy or process changes.
· Willingness to travel to ensemble team members in other territories and for reviews and engagement.
Why Join Us?
· Work exclusively with our top talent, gaining insights and experience at the highest level of the industry.
· Be part of a dynamic and innovative team committed to delivering excellence in financial advisory services.
· Enjoy a collaborative and supportive work environment that values professional growth and development.
Salary: $150,000
Location: On site in Poughkeepsie office
