Supervisory Control Associate

• Participate or conduct compliance, supervision, control reviews, administration and technology
• Design risk processes and provide project management support
• Identify issues and provide resolution within Insurance or Private Client Groups
• Perform basic or tactical ongoing regulatory, compliance and operational reviews as well as other duties related to best practices and opportunities for additional synergies to maximize efficiencies
• Receive direction from management and exercise independent judgment while developing an understanding of sales activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies
• Collaborate and consult with financial advisors, branch managers, supervisory principals and Market Administration Management

• 6+ months of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through one or a combination of the following: work experience, training or education
• Active FINRA license Series 7 (required)
• Active FINRA license Series 63
• Good communication skills

Minimum 6 months of relevant experience in a global bank setting