Essential Duties and Responsibilities

• Conducts supervision review of communications, through the use of various reports and systems.
• Interfaces with divisional leadership to inform them of any supervisory concerns that may arise with branch office managers/FAs and works together with them to address these concerns as well as to resolve any conflicts that may arise.
• Monitors and keeps up to date with regulations regarding communications and applies them accordingly.
• Assists in researching Supervision issues.
• Assists in developing training programs, including maintaining training records and coordinating training with functions.
• Prepares and delivers written and oral presentations to business units.
• May participate in the formation of policies related to compliance.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

• Investments and trading, securities industry regulations, and client suitability (all at a level consistent with the requirement of Series 24 licensing).
• Company’s working structure, policies, mission, and strategies.
• General office practices, procedures, and methods.
• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases.
• Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.
• Detail orientation to ensure the regulatory liability is limited, without impairing workflow.
• Utilizing business-appropriate phone manners.
• Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.
• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers/FAs.
• Establish and communicate clear directions and priorities.
• Provide a high level of customer service.
• Bachelor’s degree (B.A) in a related discipline and a minimum of two (2) years of experience in Supervision and/or the financial services industry.
• Any equivalent combination of experience, education, and/or training approved by Human Resources.
• Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe. 
  • SIE required provided that an exemption or grandfathering cannot be applied.
  • Required to have a Series 7, 24 and 65, 63.  Series 66 can be obtained instead of 63/65.

This is the pay range that Magnit reasonably expects to pay for this position: $26.77/hour - $35.69/hour

Benefits: Medical, Dental, Vision, 401K