Essential Duties and Responsibilities

• Conducts compliance review of social media communications using various reports and systems. Pro-actively ensures compliance with applicable industry rules (i.e. State, FINRA & SEC) and platform policies and procedures as they apply to social media communication review.
• Communicates with associates to inform them of any social media supervisory concerns and resolves any disputes that may arise.
• Monitors and keeps up-to-date with securities/advisory regulations and applies them accordingly.
• Interprets, applies and recommends changes to organizational policies and procedures.
• Consults independently with branch managers and recommends actions to ensure compliance with existing rules and regulations as well as prevent potential liability.
• Identifies trends and assists with implementing corrective action as necessary. Proposes and/or assists with establishing control mechanisms and other improvement initiatives.
• Assists in researching supervision issues.
• Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC) sufficient to perform the functions of this job.
• Company’s working structure, policies, mission, and strategies.
• General office practices, procedures, and methods.
• Concepts, practices and procedures of securities industry and/or banking compliance, including suitability and other compliance issues involved with retail activity.
• Understand and apply regulatory and policy requirements when conducting reviews.
• Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently.
• Independently manage and complete multiple projects and tasks; work independently with minimal direct supervision.
• Use appropriate interpersonal skills and communicate effectively and professionally, both orally and in writing, with all organizational levels.
• Work effectively with Financial Advisors and enforce company policies and procedures as necessary.
• Establish and communicate clear directions and priorities.
• Provide a high level of customer service.Principles of banking, finance, and securities industry operations
• Understand and apply regulatory and policy requirements when conducting reviews.
• Organize, prioritize, manage, and track multiple detailed tasks and assignments, including those delegated, to complete work efficiently. 
• Bachelor’s degree (B.A) in a related discipline and a minimum of five (5) years of experience in Supervision and/or the financial services industry.
• 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.
     o Required to have a Series 7, 24 and 66
     o Series 65 and 63 can be obtained instead of 66

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