Branch Supervisor Associate

Location: Irwin, PA

Department: Accounting and Advisory Services

Type: Full Time

Min. Experience: Mid Level

 

Duncan Financial Group is seeking a Branch Supervisor Associate to join our rapidly growing team.  This position will supervise advisors throughout the US.  This is a position that will require annual travel to various office locations for management and auditing purposes.  The position will also serve as a backup role to peers.  All applicants must have Series 7, and 24.  Series 65 or 66 is a plus. 

Responsible for the supervision of Advisors throughout the United States.  This position will travel to various office locations to perform management and auditing.  This position will also cross-cover peers in similar roles. 

KNOWLEDGE/SKILLS/ABILITIES:

  • Business acumen
  • Communication
  • Customer/client focus
  • Presentation skills
  • Problem solving/analysis
  • Strategic thinking
  • Technical capacity

ESSENTIAL JOB FUNCTIONS:

  • First line supervisory responsibility as a guide and resource to assigned financial advisors as part of a supervisory team
  • Work with financial advisors to address suitability and operational concerns and provide instruction on branch policies and procedures, including ongoing training and education as needed
  • Use of online tools
    • Update and review trade blotter
      • Review trades on a regular basis
      • Ability to recognize unsuitable or inappropriate activity, identifying suspicious patterns in sales and business practice; When issues or concerns are uncovered, work with advisor towards resolution:
        • Recognize need for, and then execute, training based on advisor deficiencies
        • Conduct investigations and independently take corrective action as required
        • Collaborate with upline Supervisor for escalation of high-risk situations
        • Assist with solving transaction problems
  • Review all financial advisor new account applications and paperwork
  • Maintain working knowledge of online tools to be utilized in the monitoring and detection of potential concerns
  • Email and hard copy correspondence
    • Ability to recognize misleading information and evidence of complaints or unapproved activities
    • Ability to recognize unsuitable or inappropriate activity, identifying suspicious patterns in sales and business practice; When violations are uncovered, work with advisor towards resolution:
      • Recognize need for, and then execute, training based on advisor deficiencies
      • Conduct investigations and independently take corrective action as required
      • Collaborate with the OSJ Branch Manager for escalation of high-risk situations
      • Act as a bridge between Cambridge and the field to assist with solving correspondence problems
  • Maintain a working knowledge of various manuals
  • Assist with implementation and monitoring of branch audit process, including off-site branch inspections
    • Facilitate proactive and positive relationships with branch office staff, registered representatives and their office staff, internal regional directors, and Cambridge leadership and support personnel
    • Provide guidance and feedback related to branch development and sales growth
  • Ad hoc compliance, supervisory and operations projects
  • Participate in conference calls to contribute to the continual growth and development of practice management within the internal and external branches of the organization
  • Join frequent conference calls to discuss regulatory changes and share pertinent supervisory discoveries

SPECIFIC EDUCATION OR EXPERIENCE:

Bachelor’s degree in a related field
Series 7 and 24 Licensing is required
Series 65 or 66 Licensing preferred
Two to four years of related management experience

 

PHYSICAL DEMANDS AND WORK ENVIRONMENT:

Frequently sit, stand and walk
Regularly required to talk or hear
Frequently required to use hands or fingers to handle or feel objects, tools or controls
Occasionally required to climb or balance, stoop, kneel, crouch or crawl
Occasionally lift and/or move up to 25 pounds
Vision abilities to include close vision, distance vision, peripheral vision and the ability to adjust focus
The noise level in the work environment is usually moderate
Temperature in the workplace is typically moderate

 

TRAVEL REQUIREMENTS:

This position requires travel up to 50% of the time.

 

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