Do you have a true interest in investing and the rules and regulations of the securities industry? Do you also enjoy working from home? If so, the Supervision and Business Risk (“SaBR”) team is seeking a positive professional to join the team as a Supervision Advisor on our Advisory suitability team. The right candidate will have the ability to build positive relationships with both the local agency management team and our field rep’s while also working as a mentor in a high volume, fast paced environment. In this role, the supervision advisor will be expected to use their knowledge and application of the laws, regulations, products and ethical standards of the securities industry to ensure the best interests of the client are being met.  The candidate will have the opportunity to work with new account reviews both on and off platform, risk/return metrics, asset allocation and alternative investments within discretionary accounts. This position reports to the Manager of the Supervision and Business Risk team.

You will

• Responsible for making independent suitability decisions when approving of all Investment Advisor accounts at account opening (including the review of Advice Capture within PAS approved systems).

• Consistently enforces Investment Advisory platform compliance policies and guidelines and escalates concerns when it is appropriate to do so.

• Working closely with agency management and field reps by establishing and maintaining positive working relationships to ensure business is conducted within guidelines set by the Firm and industry regulations.

• Asking pertinent questions to gather relevant facts surrounding a problem, issue, or objective; weighing the relative importance, adequacy, and validity of information to form fact-based opinions, solve problems and make sound recommendations.

• Communicating effectively (both written and oral) with agency management and field reps using clear, concise, and understandable language.

• Partner with branch exam partners for field reviews.

• Demonstrating sound and consistent supervisory judgment based on thorough and systematic review of information available.

                                   

You have

• Must have Series 7, 24 or 9/10 (or equivalent) and 63/65 or 66

• Record of increasing responsibility in compliance and/or supervisory functions

• Proficient in MS Office skills including Excel, SharePoint, Word and Power Point.

• Excellent verbal and written communications skills

• Ability to manage multiple projects and meet deadlines

• Strong knowledge of FINRA, SEC, and State rules and regulations

• Strong knowledge of variable annuities, structured notes, mutual funds and other financial products

• Personable and reliable self-starter who requires minimal oversight for day-to-day responsibilities, works effectively as part of a team as well as independently and implements feedback in an effective manner

Preferred

• Series 4 and/or 53 is a plus

Salary Range

$68,020.00 - $102,025.00

The salary range reflected above is a good faith estimate of base pay for the primary location of the position. The salary for this position ultimately will be determined based on the education, experience, knowledge, and abilities of the successful candidate. In addition to salary, this role may also be eligible for annual, sales, or other incentive compensation.

Our Promise

At Guardian, you’ll have the support and flexibility to achieve your professional and personal goals.  Through skill-building, leadership development and philanthropic opportunities, we provide opportunities to build communities and grow your career, surrounded by diverse colleagues with high ethical standards.

Inspire Well-Being

As part of Guardian’s Purpose – to inspire well-being – we are committed to offering contemporary, supportive, flexible, and inclusive benefits and resources to our colleagues.

Health Care

• Choice of [high deductible/copay] medical plans* with prescription drugs, including coverage for fertility and transgender inclusive benefits

• Dental plan

• Vision plan

• Health care accounts – flexible spending, health reimbursement, and health savings accounts

• Critical illness insurance

Life and Disability Insurance

• Company-paid Life and Disability insurance plus voluntary supplemental coverage

• Accident insurance

Retirement and Financial

• 401(k) retirement plan with a company match, plus an annual age/service-based Company contributio