Senior Supervision Support Associate
Core
Enable Registered Principals to meet regulatory and compliance expectations through structured governance, proactive monitoring, and disciplined execution of supervisory processes.
Role type
Senior Supervision Support Associate
Builds
Compliance governance and risk management support for Registered Principals
Domain
Financial Services / Regulatory Compliance
Deliverable
client delivery
Required skills
regulatory compliance monitoring, audit preparation, report compilation, stakeholder coordination, data tracking, process execution
Preferred skills
MS Excel, Power BI, US financial system knowledge, regulatory environment knowledge
Responsibilities
Prepare for and meet with Registered Principals periodically, assist with follow-up requests, proactively reach out to advisors to ensure completion of Compliance Tracker and training items, assist with audit preparation and responses to business partner requests, submit 402113s monthly, review semi-annual reporting of late MAARs, assist with Practice Assessments, keep Complaint Tracker up to date, partner with RPs to ensure compliance training is conducted, work with RPs to ensure discipline is documented in evaluations, collect and log advertising monthly, help RPs prepare and document on-site security inspections, annual LinkedIn reviews, and annual Internet reviews, attend regional compliance meetings
Seniority
Senior, hands-on IC