Advisor, Investment Advisory Supervision
Core
Evaluate advisory and trading activity, review regulatory filings and client agreements to ensure alignment with firm policies and regulatory expectations, and drive resolution of potential concerns.
Role type
Senior IC investment advisory supervisor
Builds
Supervisory reviews, regulatory compliance documentation, and process improvements for investment advisory oversight
Domain
Financial services / Investment advisory / Securities regulation
Deliverable
dashboards & analysis
Required skills
Securities industry knowledge, Regulatory analysis, Risk-based supervision, Client suitability evaluation, Process documentation, Remediation tracking
Preferred skills
Series 24 licensing, Investment Advisers Act expertise, RIA oversight experience
Technologies
Office software, Databases, Electronic communications systems
Responsibilities
Conduct risk-based supervisory reviews to identify trends and regulatory issues; Evaluate trading activity for consistency with account objectives; Review regulatory filings and advisory agreements; Communicate findings and required actions to financial advisors and management; Research complex supervision questions and recommend solutions; Maintain and enhance supervisory procedures and control documentation
Seniority
Mid-level, hands-on IC