Complex Supervisory Officer


Beverly Hills, CA

What you'll be doing

Perform delegated supervisory functions and oversee the branch operational risk and audit process. Review and supervise as delegated, producing branch manager activities within the complex. Manage the control analyst and make recommendations in hiring employees. Manage non-operational client issues and complaints following firm policy and regulatory requirements. Perform monthly active account reviews. Communicate and ensure compliance with firm risk management guidelines and policies. Ensure compliance with legal and regulatory requirements, including Sarbanes-Oxley. Monitor client accounts and transactions and oversee as delegated employee related activity (e.g. outside accounts, political contributions). Communicate and educate new employees regarding firm compliance bulletins, related procedures and client company group operational risk framework requirements. Ensure branch completion of required compliance training modules.

What your background should be

5 years of experience with leading financial institution preferably in a supervisory, risk or compliance role. Relevant management experience in branch operations. Leadership skills. Judgment and decision-making. Working in partnership. Leverages resources and delegates effectively. Creates a positive branch business culture. Required licenses FINRA registrations: series 7, 66, 9 and 10-series 3 (if applicable).

Required Schooling / Training

High school diploma or equivalent required; college degree preferred.

Who is the client company

The client company is a global firm providing financial services.
If you are interested in this position, send your resume to