Governance And Supervision Trainer

• Lead, design, and deliver training programs that strengthen supervision, risk management, and compliance, including developing clear, practical curriculum and materials that translate complex policies and regulatory requirements for associates and managers, while managing training schedules, tracking completion, and maintaining accurate records for all team members
• Use knowledge of individual contributor and manager supervision development programs across compliance policy areas to explain how different programs and solutions connect and how they may impact risk across the organization
• Work closely with Governance, Supervision, Compliance, and Product subject matter experts to create training curriculum, courses, and materials that address regulatory requirements, client account activity, and Financial Advisor strategies
• Partner with an offshore Trainer to ensure comprehensive, consistent training is developed and delivered for offshore teams
• Assess business activities and identify current and emerging risks, incorporating training and coaching into supervisory controls and ongoing monitoring efforts
• Apply strong business, operational, and regulatory knowledge to support decision-making, resolve issues, and guide the implementation of solutions through clear instruction and hands-on coaching
• Partner with cross-functional teams to influence adoption of supervisory practices, meet deliverables, and drive new initiatives forward
• Collaborate with peers and mid- to senior-level leaders to interpret requirements, identify risk trends, and support the rollout of risk-mitigating strategies through education and communication
• Serve as a key point of contact with internal and external partners to ensure training content, messaging, and materials are timely, accurate, and aligned with business and regulatory expectations
• Lead or support department and firm-wide projects and initiatives, coordinate work across teams, and mentor peers as part of broader training and development efforts

4+ years of risk management, business controls, quality assurance, business operations, compliance, or process experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

• Ability to lead and facilitate large-scale meetings, training sessions, both in person and virtually
• Excellent verbal, written, and interpersonal communication skills
• Ability to design and deliver instructor-led training programs that translate complex policies, procedures, and regulatory concepts into clear, practical, and engaging content for both individual contributors and managers
• Ability to create and deliver PowerPoint presentations
• Strong research and documentation skills
• Strong understanding of risk management, supervisory frameworks, regulatory expectations, and changes within financial services
• Conflict management and decision-making skills
• Ability to independently organize, prioritize, and manage multiple tasks, projects, and responsibilities while meeting deadlines and adapting to changing business needs
• Strong facilitation, coaching, and influencing skills, with the ability to engage associates, managers, and leaders and drive adoption of consistent supervisory practices
• FINRA registration including Series 7, 66, 9, and 10 examinations (or FINRA recognized equivalents)