Advisor, Investment Advisory Supervision

What You’ll Do

• Conduct risk-based supervisory reviews using multiple reports, systems, and information sources to identify trends, trading patterns, potential policy concerns, and possible regulatory issues.

• Evaluate trading activity in client accounts to determine whether it is consistent with the accounts’ objectives and relevant supervisory requirements.

• Support oversight of Independent Registered Investment Advisers and Corporate RIA-related activities, including reviews of regulatory filings, client agreements, advisory disclosures, and supervisory documentation.

• Document review results clearly, identify matters requiring additional research or follow-up, and track remediation through completion.

• Communicate directly with financial advisors, branch and sales management, and internal business partners regarding supervisory findings, required actions, and potential account-related concerns.

• Research complex supervision, compliance, and advisory-related questions and recommend practical, risk-informed solutions.

• Stay current on advisory regulations, industry developments, firm policies, and evolving supervisory expectations.

• Maintain and enhance supervisory procedures, desktop procedures, process maps, review templates, control documentation, and evidence-of-review standards.

• Help create consistent, repeatable, and auditable supervisory processes that strengthen the quality and effectiveness of the team’s work.

• Contribute to training initiatives by developing materials, coordinating training activities, maintaining records, and sharing technical knowledge with colleagues.

• Prepare and deliver clear written communications, review findings, presentations, and recommendations for technical and non-technical audiences.

• Serve as a technical resource to colleagues and business partners and provide guidance on defined supervisory processes and issues.

• Lead or contribute to projects of moderate scope and complexity that improve supervisory practices, documentation, or operational effectiveness.

• Perform other duties and responsibilities as assigned.

What You’ll Bring

Knowledge

• Working knowledge of investments, securities trading, industry regulations, and client suitability at a level consistent with Series 24 licensing expectations.

• Knowledge of the Investment Advisers Act, Form ADV, Form CRS, IARD, advisory agreements, disclosure obligations, fiduciary considerations, custody and asset-management concepts, advisory fees and compensation disclosures, and RIA supervisory frameworks.

• Understanding of supervisory and compliance considerations associated with financial advisor and branch-management trading activity.

• Familiarity with organizational policies, business practices, and the interaction between supervision, compliance, operations, and client-facing functions.

• General knowledge of office practices, procedures, and methods.

Skills

• Strong critical-thinking and decision-making skills, including the ability to interpret regulatory requirements and firm policies and apply them to specific facts and circumstances.

• Careful attention to detail, with the ability to identify inconsistencies and manage regulatory risk without unnecessarily disrupting business workflows.

• Strong written and verbal communication skills, including the ability to explain complex or sensitive supervisory concerns clearly and professionally.

• Effective research, analysis, documentation, and problem-solving skills.

• Proficiency with standard office equipment and software used to create correspondence, reports, spreadsheets, presentations, databases, and electronic communications.

• Professional and business-appropriate communication skills across phone, virtual, and written channels.

Abilities

• Independently organize and complete multiple assignments while managing changing priorities and deadlines.

• Review regulatory filings, client-facing disclosures, agreements, internal records, and supervisory evidence for accuracy, consistency, and alignment with policy and regulatory expectations.

• Evaluate available information, recognize when additional facts are needed, and make or recommend sound decisions.

• Communicate effectively and professionally with individuals at all organizational levels, including financial advisors, branch managers, sales management, and internal business partners.

• Establish clear priorities and provide practical direction when coordinating reviews, follow-up, or remediation.

• Build effective working relationships while maintaining independence, objectivity, and appropriate professional judgment.

• Deliver a high level of service while addressing supervisory concerns directly and constructively.

Competencies and Behaviors

The strongest candidates will demonstrate the following:

• Analysis: Identifies, researches, and interprets supervisory concerns by considering information from multiple systems, documents, reports, and stakeholders.

• Communication: Presents findings, questions, and recommendations clearly and professionally, adjusting the level of detail for different audiences.

• Judgment and Decision-Making: Applies regulatory knowledge, firm policy, available facts, and potential risk to reach or recommend practical, well-supported conclusions.

• Technical and Professional Knowledge: Builds and maintains expertise in advisory supervision, securities regulation, RIA oversight, trading activity, and related supervisory controls.

• Building Effective Relationships: Develops trusted working relationships across Advisory Supervision and with advisors, sales management, Compliance, and other internal partners.

• Ownership and Accountability: Takes responsibility for assigned reviews and projects, follows matters through resolution, and produces complete and reliable documentation.

• Continuous Improvement: Identifies opportunities to strengthen procedures, templates, controls, and workflows while supporting consistency and auditability.

• Adaptability: Responds effectively to changing priorities, new regulatory expectations, and complex fact patterns while maintaining focus on quality and risk management.

Educational/Previous Experience Recommendations:

• 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.

or

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications:

• 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 66

• Series 7 and 65 can be used instead of the 66

• Applicable designation or CFP can be used instead of the 66 and must be in good standing