Position Overview
What you'll be doing
Reviewing and approving high-volume supervision items, including non-cash compensation (credit cards, check requests) and Logoed related ordersMonitoring gift & entertainment activity for policy, strategic firm and regulatory complianceConducting surveillance of email, text, and social media communicationsResponding to field inquiries and providing clear, practical supervision guidanceConducting annual interviews and training sessions with registered representativesIdentifying and escalating potential risks, applying sound, business-aware judgmentContributing to or lead SME areas (, NCC, communications, marketing, registration, complaints)Partnering with Compliance (2nd line) and Field Assurance (3rd line) to ensure effective oversightDelivering fast, accurate supervision in a high-volume environmentIdentifying risks early...