Senior Manager, Supervision- E-Comm Review

Job Description

Job Summary:

Senior Manager of E-comm Supervision will manage a supervisory team responsible for the oversight of Electronic Communications. This Senior Manager will lead the Home Office branch Electronic Communications team. Under limited direction, directs and leads a team with a high level of autonomy, uses advanced knowledge and skills in securities industry regulations obtained through education, experience, specialized training and/or certification, to provide management of the Electronic Communications Supervision program. The leader must have strong problem-solving and decision-making skills to escalated topics, be highly collaborative, and be focused on people development.  Also, the leader will be responsible for maintaining extensive contact with internal customers to identify, research, analyze, and resolve complex supervisory issues. 

Essential Duties and Responsibilities:

• Lead the Home Office branch Electronic Communication team of associates

• Complete daily workflow distribution, manager reviews and assist with reviewer escalations, as needed.

• Works with representatives across business units supported by E-comm Supervision to provide appropriate coverage and maintain positive working relationships

• SME for each business unit and E-comm coverage; understanding risks associated and specific to each area

• Creates monthly metrics reports for certain business units; facilitates meetings with business units periodically

• Develop, implement, maintain, monitor, and when necessary, revise supervision procedures and resource documents that reflect “best practices” and ensures the firm is adhering to all legal and regulatory requirements.

• Coaches and mentors associates, identifies training needs and recommends development programs. Directly manage and develop staff, identifying training opportunities.

• Communicate and train the field regarding regulatory rules and firm policy changes.

• Key point of contact for home office business units; serve as SME of each business unit from an E-comm review perspective

• Uses metrics data and quality assurance feedback to identify key areas of risk and inefficiency to identify training opportunities and other improvements. Identifies trends and implements corrective action as necessary.

• Maintains extensive contact with internal partners to identify, research, analyze and resolve complex issues with significant impact.

• Maintains and executes on enhancements to the Electronic Communications systems and processes for the firm.

• Ensures effective coordination and communication occurs between supervision, PCG management, compliance, legal and other functional areas.

• Monitors and keeps up to date with regulations regarding Electronic Communications and applies them accordingly.

• May participate in the formation of policies related to compliance.

• Performs other duties and responsibilities as assigned

Knowledge, Skills, and Abilities:

Knowledge of:

• Broad subject matter expertise in retail supervision activities, specifically Electronic Communications and correspondence

• Strong foundation in supervisory concepts, practices and procedures used in the securities industry, financial markets and financial products. 

• Company’s working structure, policies, mission, and strategies

• General office practices, procedures, and methods.

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.

• Fundamental investment concepts, practices and procedures used in the securities industry.

• Principles of banking and finance and securities industry operations.

• Financial markets and products.

• Human resource management principles and practices.

• Company’s working structure, policies, mission, and strategies.

• General office practices, procedures, and methods.

• Investment concepts, practices and procedures used in the securities industry.

• Suitability and other compliance issues involved with branch manager/FA trading activity.

Skill in:

• Managing a larg