Regional Supervision Director
DUTIES AND RESPONSIBILITIES include the following but not limited to:
* Participate in transition activity to integrate Woodbury Financial onto Advisor Group supervisory tools, policies and procedures as applicable. Activity includes planning, user testing and implementation.
* Maintains ongoing positive relationship with advisors and field managers in collaboration with the SVP and Business Development.
* Transaction and suitability review for all transactions that run thru the Broker-Dealer.
* Engages in Supervisory Office Visits and Annual Practice Reviews as assigned.
* Follow up on audit findings and proactively addressing potential compliance issues to minimize risk to the client, branch and firm.
* Monitors, reports and enforces internal controls to ensure compliance with industry standards and the firm's policies and procedures.
* Works with advisors to address concerns and to educate on supervisory processes.
* Assists in implementation of policy and procedures for the facilitation of first line supervision on new and existing initiatives.
* Identifies suspicious patterns of practice. Conducts investigation, based on findings deemed to be in violation of the firm's current guidelines and takes appropriate corrective action as needed in collaboration with the SRVP and Compliance.
* Development and training of new OSJ branch managers and staff with regards to broker dealer policies and procedures for compliance and supervision.
* Create and/or revise current suitability and trade review procedures in accordance with regulatory mandates and trends as applicable.
* Work in conjunction with IT to beta test and provide feedback on new technology created for the Supervision Department and first line supervisors.
* Coordinates and enforces heightened or special supervision of branch offices or advisors as needed.
* Maintain records and files as outlined in policies and procedures.
* Works on delegated and collaborative cross-functional projects representing Field Supervision.
* Travel required as dictated by above responsibilities
Bachelor's degree preferred
* 3 to 5 years experience
* FINRA Series 7, 24, (65 or 66) required
* FINRA Series 4, 53 preferred or must be obtained within 90 days of hire.
* Excellent written and verbal communication skills
* Proficient with MS Office (Word, Excel, PowerPoint) 3 to 5 years experience
About AIG
American International Group, Inc. (AIG) is a leading international insurance organization serving customers in more than 130 countries and jurisdictions. AIG companies serve commercial, institutional, and individual customers through one of the most extensive worldwide property-casualty networks of any insurer. In addition, AIG companies are leading providers of life insurance and retirement services in the United States.
AIG Property Casualty is a global market leader, one of the few truly global property casualty franchises.
AIG Life and Retirement is one of the largest life insurance organizations in the U.S., and provides protection, investment and income solutions needed for financial and retirement security.
United Guaranty Corporation is the marketplace leader in mortgage insurance in the U.S.
Additional information about AIG can be found at www.aig.com | YouTube: www.youtube.com/aig | Twitter: @AIG_LatestNews | LinkedIn: www.linkedin.com/company/aig
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