Position Summary

Experienced compliance and supervision professional reporting to the Chief Supervisory Officer (CSO) to provide supervision and compliance services to (1) the Strategic Financial Alliance, Inc. (SFA) OSJ Managers and financial advisors assigned to home office OSJ and (2) Financial advisors who are advisory representatives of Strategic Blueprint, LLC. Will also participate with the Supervision and Compliance teams in general compliance functions, which may include development of procedures and training, surveillance, and special projects.

Essential Functions

1. Review for common risk and regulatory issues and approve business conducted by OSJ managers
2. Supervisory review of trade blotters
3. Supervisory review of new accounts and material account changes
4. Supervisory review of managed accounts
5. Supervisory review of advisory agreements and their implementation
6. Review of certain activities of financial advisors associated with independent investment advisers, including their managed accounts held away
7. Some supervisory review of email correspondence (Global Relay/App River)
8. Work with supervisees to address suitability concerns and to educate on processes and procedures
9. Work with Compliance to address communications, complaints, and other deficiencies
10. Assist in development of Firm Element Continuing Education program and compliance training through on-going assessment of training needs and issues, reviewing RegEd courses, and developing OSJ compliance communications
11. Review quarterly statements supervisees’ personal securities accounts and monitor for conflicts
12. Facilitate timely completions of annual compliance requirements (Firm Element, Code of Ethics, OBA disclosures, and Annual Compliance Questionnaires)
13. Conduct branch office examinations, as needed
14. Maintain an ongoing positive relationship with all financial advisors in collaboration with the Chief Supervisory Officer
15. Promote efficiencies and cooperation across all departments
16. Promote the goals and culture of the firm in serving the independent financial advisor in a compliant, professional, and user-friendly manner
17. Other duties and responsibilities as may be assigned

Qualifications

 Required:

1. Position requires 5+ years’ experience in broker-dealer and/or investment adviser supervision or similar role
2. Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds
3. Series 7 and Series 24
4. Strong verbal and written communications skills
5. Ability to analyze large amounts of trade data and to think through complex compliance issues
6. Proficiency with Microsoft Office products (Word, Excel, PowerPoint)

Preferred:

1. Experience supervising Registered Investment Adviser Representatives
2. Series 65 or 66
3. Series 4 and Series 53