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 402113s are submitted in a timely fashion.

Submit 402113s on a monthly basis

Review semi-annual reporting of late MAARs to determine which were turned into APWG by a field advisor...