What You’ll Be Doing

As the Senior Manager, Regulatory Supervision - Bilingual, you will report to the Director of Regulatory Supervision and will be accountable for Tier 1 supervision within your designated branches. You will provide subject‑matter leadership, expertise, guidance, support and training to all branch staff as it relates to sales supervision. You will ensure adherence to industry regulations and acceptable standards of business ethics and conduct, and recommend strategies to assist employees in reducing follow‑up with respect to supervisory related queries.

How You’ll Succeed

• Supervision of New Investment Advisors (RRs) or Assistants (IRs), Investment Advisors (RRs) or Assistants (IRs); oversee trading and account supervision for the Daily Commission Run Review, Universal Market Integrity Rules Review, Monthly Statement Reviews, FATCA Remediation Reports and more.
• Account Opening & Documentation – reviewing and approving ...