Job Description
Description
Drive effective supervisory oversight and risk management by enabling Registered Principals (RPs) to meet regulatory and compliance expectations through structured governance, proactive monitoring, and disciplined execution of supervisory processes.
Key Responsibilities
Prepare for and meet with each RP periodically, Assist with follow-up requests as needed, Assist with meeting prep and/or scheduling as needed Proactively reach out to advisors to ensure completion of Compliance Tracker, Required Training items, IRA Rollover alerts, etc. Assist RP with audit preparation, scheduling, and responses to internal and external business partner requests. Use Managed Account Annual Review (MAAR) reporting to ensure s are submitted in a timely fashion. Submit s on a monthly basis Review semi-annual reporting of late MAARs to determine which were turned into APWG by a field advis...