Senior Supervision Officer

Our client is looking for a

• Provide procedural guidance to Portfolio Managers, Wealth Advisors, Salespersons, administrators and internal business partners via email, telephone inquiries and staff meetings.
• Serve as the subject matter expert for critical projects involving proposal generation, account opening and IPS guideline monitoring.
• Principal review and approval of account maintenance and new accounts, including natural person and entity new accounts, with strategies spanning across asset classes (equity, fixed income, private equity/credit and hedge funds) with emphasis on best interest standards, investment policy statement (IPS) review and meeting appropriate documentation requirements.
• Monitor Discretionary & Non-Discretionary Investment Advisory program relationships, using proprietary firm tools, with focus on identification, mitigation and resolution of alerts related to IPS Compliance (including but not limited to deviation from asset allocation/risk profiles, suitability of portfolio holdings, alternative investment exposure, and related account activities within client relationships).
• Timely review and approval of client correspondence, including print and electronic communications, such as customized presentations, wealth analysis/financial plans, strategy decks and email surveillance in accordance with Client and SEC rules regarding communications with the public, all under tight deadlines.
• Assist in the analysis, development and implementation of policies and procedures to ensure compliance with various regulations including the Investment Advisers Act of 1940 and the Investment Company Act of 1940 rules and regulations.
• Review and evaluate portfolio holdings verse client account objectives to ensure compliance with best interest standards.
• Work closely with internal/external auditors and Legal and Compliance to respond to regulatory inquiries.
• Liaise with senior business personnel regarding special projects and regulatory initiatives; provide guidance and analysis of rules and/or firm policies as appropriate.
• Cross-train in additional supervision areas, dependent upon business requirements

• Bachelor's Degree required
• Series 7, 66 and 24 (or 9/10) licenses required.
• 5-7 years of investment advisory or broker-dealer experience, ideally with background in supervisory principal activities.
• Detail-oriented with strong organizational and follow up skills.
• Must be able to operate independently and function as a team player.
• Demonstrated ability to use sound judgment and critical thinking skills to investigate, evaluate and resolve complex issues.
• Strong collaboration, influence, and excellent interpersonal skills including the ability to interact with all levels of staff.
• Demonstrated analytical ability, strong written and oral communication skills.