Job Description

Company Overview: The Vermont Agency is a leading financial services firm dedicated to providing top-tier protection, investment and wealth management solutions to our clients. With a commitment to excellence and integrity, we dramatically impact the lives of others.

Position Overview: We are currently seeking a dynamic and experienced Securities Supervisor to join our team. The Securities Supervisor will play a pivotal role in overseeing and managing the compliance and regulatory functions related to securities trading activities within the firm. The successful candidate will have a deep understanding of securities regulations and a proactive approach to risk management.

Responsibilities:

• Oversee and manage all aspects of securities trading activities, ensuring compliance with regulatory requirements and internal policies.
• Suitability, Blotter and Correspondence Review.
• NIGO Abatement.
• Enforce effective compliance programs, policies, and procedures to mitigate risks associated with securities trading.
• Conduct regular detached office audits and reviews to assess compliance with securities regulations and internal controls.
• Serve as a point of contact for regulatory inquiries and examinations, liaising with regulatory agencies as needed.
• Monitor changes in securities regulations and industry trends, and advise senior management on potential impacts to the firm.
• Collaborate with other departments to address compliance issues and implement solutions.

Additional Responsibilities include:

• Equities Book of Business Reporting and Opportunity Analysis.
• Business Transition for Experienced Registered Representatives.
• Business Succession.

Qualifications:

• Series 6 or 7, Series 66 or 65 and Series 24 licenses.
• Bachelor's degree in finance, business administration, or a related field; advanced degree or professional certification (e.g., CFA, CPA, CSCP) preferred.
• Minimum of 2+ years of experience in securities compliance or regulatory affairs within the financial services industry, with a demonstrated track record of success in a supervisory role.
• Strong knowledge of securities regulations, including but not limited to SEC, FINRA, and state regulatory requirements.
• Excellent analytical, problem-solving, and decision-making skills, with the ability to interpret complex regulations and apply them to practical situations.
• Exceptional communication and interpersonal skills, with the ability to effectively interact with individuals at all levels of the organization.
• High level of integrity and professionalism, with a commitment to upholding ethical standards and promoting a culture of compliance.

Benefits: The Vermont Agency offers a competitive salary and benefits package, including medical/dental/vision insurance, retirement savings plans, and opportunities for professional development and advancement.

Join our team and be part of a dynamic and innovative organization that is dedicated to helping clients achieve their financial goals and having a dramatic impact in our community.

Job Type: Full-time

Pay: $80,000.00 - $180,000.00 per year

Benefits:

• Dental insurance
• Disability insurance
• Health insurance
• Retirement plan
• Vision insurance

Experience level:

• 2 years

Ability to Relocate:

• Colchester, VT: Relocate before starting work (Required)

Work Location: In person

Job Tags

Similar Jobs