Supervisory Support Officer Job in Columbus, Ohio US
Supervisory Support Officer
The Supervisory Support Officer supports sales managers by executing designated supervisory duties, thereby facilitating standardized oversight and enhanced focus on the investment sales process, while assuring compliance with securities industry regulations and firm policies Primary responsibilities include * Reviewing inbound outbound quarantined e-mails, and 3% of clean e-mails, to ensure electronic communications are appropriate in terms of content and regulatory standards * Conducting Monthly Account Reviews for assigned OSJs and managers, and taking appropriate supervisory action to address any resulting concerns * Monitoring for concerning trends and patterns of business activity, and working with Investment Managers to encourage swift and appropriate remedial measures * Helping to respond to Compliance and Audit Examinations by assessing inquiries and working with Investment Managers to formulate comprehensive and relevant responses * Escalating supervisory issues as warranted and providing relevant recommendations as to appropriate actions to be taken by sales management * Managing document retention workflow, and advising Investment Managers relative to document retention requirements within their respective OSJs * Periodic retrieval and distribution of reports as deemed necessary to maintain appropriate supervisory controls among sales managers and supervision personnel * Identifying and documenting trade exceptions, and working with Investment Managers to ensure trade exceptions are handled appropriately and within firm policy * Communicating exceptions to sales representatives and managers, working with them to resolve those exceptions in a timely manner * Assist Investment Managers and Compliance in resolving issues in an appropriate and timely manner * Project work and additional tasks as assigned by Management