The Supervision Principal will play a critical role in the execution of Thurston Springer Financials' (TSF) compliance and supervision programs in accordance with the firm's Written Supervisory Procedures (WSPs). TSF is engaged in retail sales and retail advisory services. The successful candidate will assist the firm's CCO in executing against the WSPs and associated monitoring programs to ensure that the broker-dealer compliance and supervision programs remain effective.
- Support and oversee effective conflicts clearance processes, monitoring of private investments, employee trading and information barriers compliance and other surveillance activities.
- Trading platform trade blotter review, daily reports, and monthly reports within First Clearings Smart Station supervision program.
- Review and approval of all direct business applications for VA's, I529's and Mutual Funds.
- Conduct regular reviews of e-mail communications, including but not limited to those identified by the firm's flagging software and escalate to Supervisory Principals as appropriate.
- Conduct regular review of appropriate Compliance monitoring reports.
- Support review and approval of marketing, advertising and correspondence under Communication with the Public Rules and general content standards as delegated by the lead Supervisory Principals.
- Facilitate the compliance onboarding registration/licensing process inclusive of U4 and U5 submissions.
- Approve Outside Business Activities (OBAs), as well as Gifts and Entertainment that are reviewed/approved by the business.
- Conduct OSJ and branch office examinations in collaboration with Compliance.
- Understand and apply regulatory requirements in the design and testing of CCM's Written Supervisory Procedures (WSPs) and policy and procedures.
- Assist the CCO in responding to regulatory inquiries and examinations.
- Assist in forensic ad hoc projects as needed.
- Minimum of 1-3 years of progressively responsible compliance/securities industry experience required.
- Series 7 and 24 licenses required or the ability to obtain within 6 months of hire.
- Candidate must have knowledge of securities rules and existing compliance programs if not an existing holder of the Series 24.
Preferred Qualifications - In addition to the above;
- Additional FINRA licensing (e.g., 53). You will be encouraged to obtain additional licensing, if and as warranted, as part of individual development.
- Previous experience as a supervisory principal, compliance officer, risk manager or internal auditor within a broker dealer or capital markets business
- Insurance license.
Medical, dental, vision, life insurance and 401K
THURSTON, SPRINGER, MILLER, HERD and TITAK, INC.Indianapolis, IN
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