Job Details

Market Supervisory Officer

  • Market Supervisory Officer

6
 
We're looking for a Market Supervisory Officer to:
 
 *Drive initiatives related to sales supervision, compliance and business risk, including implementation and education
 * Coach the supervisory team, provide training on supervisory tools, new compliance bulletins and operational procedures
 * Manage review of various supervision processes to ensure appropriate review has occurred and sustainable processes are in place
 * Support branches in the Branch Review and Group Internal Audit processes, visiting branches, and working on action plans for those with failed audits
 * Partner with Compliance on all compliance matters, including providing input to policy and supporting communication of policies
 * Partner with branches in the Branch Review process, visit branches and develop action plans for those with failed audits. Examine market audit results and develop action plans based on trends.
 * Coach and manage the use of the Branch Self-Assessment process by branches
 * Address systemic supervisory and emerging business issues, escalating as required
 * Develop and implement training on supervisory tools, new compliance bulletins and operational procedures
 
Your expertise
* Ideally 5-8 years of experience as a risk/supervisory manager, or other substantive leadership role with a leading financial institution
 * Series 7, 8 (or 9/10), 66 (or 63/65); insurance a plus
 * Track record of leadership, mentoring and coaching success
 * Great communicator (and you know how to handle challenging situations)
 * Reliable when working independently, with sound judgment for when to escalate issues
 * Quickly adaptable to changing market situations, technology and business needs
 * Mandarin and/or Cantonese language skills 

LOCATION:  SAN FRANCISCO OR PASADENA CA
 We're looking for a Market Supervisory Officer to:
 
 *Drive initiatives related to sales supervision, compliance and business risk, including implementation and education
 * Coach the supervisory team, provide training on supervisory tools, new compliance bulletins and operational procedures
 * Manage review of various supervision processes to ensure appropriate review has occurred and sustainable processes are in place
 * Support branches in the Branch Review and Group Internal Audit processes, visiting branches, and working on action plans for those with failed audits
 * Partner with Compliance on all compliance matters, including providing input to policy and supporting communication of policies
 * Partner with branches in the Branch Review process, visit branches and develop action plans for those with failed audits. Examine market audit results and develop action plans based on trends.
 * Coach and manage the use of the Branch Self-Assessment process by branches
 * Address systemic supervisory and emerging business issues, escalating as required
 * Develop and implement training on supervisory tools, new compliance bulletins and operational procedures
 
Your expertise
* Ideally 5-8 years of experience as a risk/supervisory manager, or other substantive leadership role with a leading financial institution
 * Series 7, 8 (or 9/10), 66 (or 63/65); insurance a plus
 * Track record of leadership, mentoring and coaching success
 * Great communicator (and you know how to handle challenging situations)
 * Reliable when working independently, with sound judgment for when to escalate issues
 * Quickly adaptable to changing market situations, technology and business needs
 * Mandarin and/or Cantonese language skills 

LOCATION:  SAN FRANCISCO OR PASADENA CA
 
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