Senior Advisor, Branch Manager

This is a fully remote position, open to applicants in Colorado.

📋 Description

• Conduct supervisory reviews and approvals of client accounts, transactions, and documentation that require oversight.

• Offer supervisory assistance to branch managers, financial advisors, and branch associates.

• Investigate and resolve intricate account, suitability, and regulatory issues.

• Oversee supervisory systems and reports to identify unusual activities, trends, or potential risks.

• Raise concerns and collaborate with supervision leadership and business stakeholders to find resolutions.

• Understand and implement firm policies, industry regulations, and supervisory standards.

• Educate and advise advisors and branch staff on regulatory updates, supervisory practices, and policy modifications.

• Work in partnership with field supervision, branch leadership, compliance, legal, and operational teams.

• Suggest process enhancements to improve supervisory efficiency and risk management.

• Keep up-to-date with changes impacting the securities and advisory sector.

⛳️ Requirements

• A Bachelor’s degree (B.A.) from an accredited four-year college or university, along with a minimum of three (3) years of experience in a financial services firm or supervision.

• An equivalent mix of experience, education, and/or training as approved by Human Resources.

• Series 7, 9/10 or 24, 66 or 65/63 is required, or the ability to obtain these within a specified timeframe.

• Strong judgment in handling complex supervisory situations.

• Capability to interpret firm policies, industry regulations, and supervisory standards.

• Ability to recognize patterns, trends, and emerging risks.

• Proficiency in working independently while also collaborating effectively.

• Skill in communicating challenging messages in a professional manner.

• Ability to cultivate trusted relationships across business partners.

🏝️ Benefits

• Medical, dental, and vision insurance.

• Life insurance.

• Critical illness insurance.

• Accident insurance.

• Disability benefits.

• Retirement savings.

• Paid time off, including vacation, holidays, and sick leave.

• Parental leave.

• Remote workstyle.

• Less than 25% travel.