Advisor, Supervision- Packaged Products

Job Description Summary

Assists in conducting internal reviews in order to ensure compliance with outside regulatory requirements and internal policies. Recommends change through presentation of facts and/or legislation. Has knowledge of government laws and regulations affecting the company's business area, and ability to interpret laws and regulations in light of operations.


The Traditional Product team oversees annuity and insurance transaction exception reviews as well as packaged product supervisory functions. The team conducts analysis as part of complex suitability reviews to detect trends, and trading patterns to ensure adherence to securities industry regulations and limit firm liability.

An Advisor for the Packaged Products team would be expected to analyze various compliance and suitability reviews to detect trends of post-trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. The packaged product category includes but is not limited to mutual funds, UITs, exchange traded products and fixed income.

Some guidance is provided to perform varied work that is somewhat difficult in nature and that requires evaluation, originality and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Leads defined work or projects of moderate scope and complexity. Maintains extensive contact with internal customers to identify, research, and resolve problems.

Job Description

Job Summary:

The Traditional Product team oversees annuity and insurance transaction exception reviews as well as packaged product supervisory functions. The team conducts analysis as part of complex suitability reviews to detect trends, and trading patterns to ensure adherence to securities industry regulations and limit firm liability.

An Advisor for the Packaged Products team would be expected to analyze various compliance and suitability reviews to detect trends of post-trading patterns, and possible rules violations to ensure adherence to securities industry regulations and limit firm liability.  The packaged product category includes but is not limited to mutual funds, UITs, exchange traded products and fixed income. 

Some guidance is provided to perform varied work that is somewhat difficult in nature and that requires evaluation, originality and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Leads defined work or projects of moderate scope and complexity. Maintains extensive contact with internal customers to identify, research, and resolve problems.

Essential Duties and Responsibilities:

• Conducts compliance and suitability reviews, and monitors trading activities, through the use of various reports and systems. 
• Monitors and ensures that trading activities in clients’ accounts meet the objectives of those accounts.  Reports findings and manages concerns in a professional manner.
• Interfaces with sales management associates to inform them of any supervisory concerns that may arise with branch office managers/FAs and works together with them to address these concerns as well as to resolve any conflicts that may arise related to client accounts.
• Monitors and keeps up to date with regulations regarding trading activity in client accounts and applies them accordingly.
• Assists in researching Supervision issues.
• Assists in developing training programs, including maintaining training records and coordinating training with functions.
• Prepares and delivers written and oral presentations to business units.
• May participate in the formation of policies related to compliance.
• Performs other duties and responsibilities as assigned.

Knowledge of:

• Investments and trading, securities industry regulations, and client suitability (all at a level consistent with the requirement of Series 9, 10, and 24 licensing). 
• Familiarity/facility with RJ and its systems is preferable.
• Company’s working structure, policies, mission, and strategies.
• General office practices, procedures, and methods.
• Suitability and other compliance issues involved with branch manager/FA trading activity.

Skill in:

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, presentations, and databases.
• Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies.
• Detail orientation to ensure the regulatory liability is limited, without impairing workflow. 
• Utilizing business-appropriate phone manners.

Ability to:

• Independent