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Benjamin F Edwards & Co

13 jobs near Columbus, OH

Branch Supervision Associate

Benjamin F Edwards & Co

Saint Louis, MO • On-site

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Re-posted 29 days ago

Job description

Branch Supervision Associate

Job Summary:

The Supervision Department is a critical component of Benjamin F. Edwards mission of placing the clients’ interests first, while ensuring the firm remains in compliance with industry rules and regulations. As a Branch Supervision Associate (Central Supervision team) you will partner with other supervisors and corporate divisions to proactively mitigate risk by managing activity, product oversight, escalation approvals and governance.

Essential Duties & Responsibilities:

  • Perform centralized supervisory functions such as insurance transaction review, complex product supervision and correspondence review to ensure proper adherence to firm and industry policy.
  • Perform trade and account reviews for brokerage and Advisory accounts; deposits and disbursements reviews; review and approval for new accounts and account updates.
  • Address sensitive supervision issues with the appropriate Regional Directors, Branch Managers and Financial Advisors.
  • Identify supervisory areas of concern, ongoing issues, and reoccurring patterns at an employee, office, or management level and bring these to the attention of the appropriate individual(s).
  • Develop and document procedures and informational internal communications.
  • Demonstrate sound and consistent supervisory judgment based on a thorough and systematic review of information available.


Qualifications:

  • Demonstrated knowledge of Rules and Regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and other Federal and State securities regulatory and banking agencies.
  • Ability to handle information professionally and confidentially.
  • Solid conflict management and decision-making skills; ability to act independently.
  • Ability to interact with all levels of branch associates and business units.
  • Ability to utilize various electronic supervisory systems and exception reports.
  • Excellent written, verbal, and analytical skills.

Education and/or Work Experience:

  • Minimum Education Required: Bachelor’s degree or equivalent work-related experience of 9 + years
  • Minimum Work Experience Required: 3+ years Compliance or Supervision experience and Complex Product and/or Annuity Experience Preferred.

Licenses/Registration:

  • Minimum Required: SIE, Series 7 and 66 at time of hire. Ability to obtain Series 9/10 and/or 24 within 120 days. Health and Life Insurance licensing preferred and must be obtained within six months of hire.


Work Environment:

This position requires the ability to work in a stationary position for several hours at a time and the ability to lift up to 25 pounds, occasionally. Some filing is required. The work environment is an air conditioned, smoke-free, office environment. This position routinely uses standard office equipment such as computers, phones, photocopiers and filing cabinets.


About Benjamin F. Edwards

If you are interested in joining a different kind of firm that truly puts the interests of its advisors and clients first, you have come to the right place. Founded in 2008 and serving more than 300 advisors with over $50 billion in assets, Edwards has the scale our advisors expect and the ability to deliver the personal touch and concierge-level service our clients deserve.

We are a firm that values our legacy of family and colleagues and cherishes an environment where all succeed through collaborative support. To us, legacy is not only about the past - it is building an experience that prepares all of us, and our clients, for the future.

We invest in our team and recognize and appreciate the value of hard work. The rewards of the job are founded in the difference you will make in the lives of our clients and extend throughout a culture that inspires you to learn, grow, and be your best. Having fun is part of the firm’s mission statement.

We offer a comprehensive benefits package which includes health, dental, vision, 401(k), life insurance, disability, and paid time off.

Our client-first mission is grounded in the Golden Rule; when you join Benjamin F. Edwards you are well cared for, and we welcome all applicants with the skills, experience, and enthusiasm to do a great job regardless of race, color, religion, gender, sexual orientation, national origin, genetics, disability, age, or veteran status. Benjamin F. Edwards is an Equal Opportunity Employer.

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