Wealth: Supersion Specialist, Memphis TN Job at B. Riley Financial
With offices coast to coast, B. Riley Wealth is a leading private wealth and investment management platform that provides comprehensive, collaborative financial solutions to individuals and families, businesses and institutions, non-profits, trusts, foundations, and endowments. Securities and variable insurance products are offered through B. Riley Wealth Management; fee-based asset management and advisory services are offered through B. Riley Wealth Advisors; insurance products, including fixed annuities (but not variable products) are offered through B. Riley Wealth Insurance Corporation; and tax preparation and accounting services are offered through B. Riley Wealth Tax Services. For more information, visit www.brileywealth.com.
B. Riley Wealth is a subsidiary of B. Riley Financial (Nasdaq: RILY), a diversified business advisory and financial services platform. B. Riley refers to B. Riley Financial, Inc. and/or one or more of its subsidiaries or affiliates.
We are seeking a full-time Supervision Specialist to work in our downtown Memphis or Boca Raton office.
The successful candidate will be responsible for working with sales support to implement corrective actions and ensuring compliance with the firm's policies and procedures as well as industry regulations. In addition, the candidate will play active role in various supervisory and surveillance related processes. Ideal candidate will have experience with both the broker dealer and investment advisor environment. The Supervision Specialist reports to the CCO and Head of Supervision.
Duties of this position include, but are not limited to the following:
- Maintain a compliance supervision program to meet industry and regulatory standards
- Assist and manage compliance testing functions
- Conduct ongoing trade review and supervisory functions for retail branch accounts
- Respond to requests from the firm on various supervision and surveillance related issues
- Act as a primary person of contact for questions pertaining to accounts and branch
- Review and approve various activities and other documents as a FINRA Series 24 principal
- Review risk related reports and take appropriate action as necessary
- Identify irregular patterns and trends related to trading activity
- Conduct email reviews as needed
- Other duties as assigned
Education, Experience and Skills Required:
- Bachelor’s Degree in Business or related field, or equivalent combination of education and experience
- Securities Industry Essentials (SIE), FINRA Series 7, Series 65/63 or 66 and S24 license preferred
- Ability to understand financial services and asset management
- Proactive approach in identifying and correcting existing or potential problem areas
- Ability to develop relationships with personnel, IARs, and regulatory representatives
- Ability to create and maintain compliance related documentation
- Proficient in MS Word, Excel, PowerPoint and Outlook.
- Self-starter with strong verbal and written communication skills
- Deadline oriented with strong time management and project management skills
B. Riley Financial, Inc. employees enjoy competitive salaries, access to our 401(k) profit sharing retirement plan and our other benefits including paid holidays, vacation, and sick leave, voluntary group medical, dental, and vision insurance, and company paid life and disability coverage.
Education
Preferred- Bachelors or better in Business Administration or related field
Licenses & Certifications
Preferred- Series 24 License - GP
- Series 66 License
- Series 7 License - GS
- Sec Industry Essentials
Skills
Required- Financial Services
- Communication
Behaviors
Preferred- Team Player: Works well as a member of a group
- Detail Oriented: Capable of carrying out a given task with all details necessary to get the task done well
Motivations
Preferred- Self-Starter: Inspired to perform without outside help
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