Job Title:
Supervisory Compliance Officer
Job Code:
Job Category:
Job Type:
Job Location:
Boston - MA
Date Posted:
Dec 17 2019
Expires On:
Feb 7 2020
Supervisory Compliance Officer

The Supervisory Compliance Officer works with the market team to drive proactive risk management and supervision within the markets. They report to the Market Supervisory Officer and perform sales supervisory and approval activities as delegate.

The responsibilities of the Supervisory Compliance Officer include:
· Support initiatives related to sales supervision, compliance and business risk, including implementation and education
· Develop metrics to evaluate and mitigate risk, improve existing processes, put new processes (including training) into action and systematically track these
· Perform delegated supervisory functions and oversee the branch operational risk and audit process
· Educate employees on compliance policies, related procedures and company group operational risk framework
· Compliance with the relevant internal and external regulations
· Ensure successful branch audits and identify potential risks
· Develop and implement training on supervisory tools, new compliance bulletins and operational procedures
· Working as part of team that helps high net worth and ultra-high net worth individuals and families meet their financial goals through financial advisors who deliver products and services specifically designed for them
The qualifications needed of the Supervisory Compliance Officer include:
· 3 years of experience as a risk or supervisory manager, or other substantive leadership role with a leading financial institution preferred
· Series 7, 8 (or 9/10), 66 (or 63/65); insurance a plus
· Great communicator that knows 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
Required Years of Experience:
Additional Info:
CONTACT: Lynn Tyburski: | phone: 617-728-4100 | fax: 617-728-4115
Salary Range:
$90,000 - 100,000


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