The Advisory and Managed New Accounts team needs to improve employee development, service excellence, and regulatory compliance. This role will lead training, quality assurance, and documentation to ensure associates are equipped with the necessary knowledge and tools for consistent, high-quality service in a regulated environment.
Requirements
- Strong understanding of internal controls, risk management, and regulatory compliance in a brokerage or financial services environment.
- Ability to interpret and apply laws, regulations, and policies independently while providing technical guidance to others.
- SIE required or ability to obtain within 120 days (as required by FINRA)
- Series 99 required, or ability to obtain within 120 days (as required by FINRA)
Responsibilities
- Oversee the design, delivery, and evaluation of training programs to support onboarding, role-specific development, and ongoing education.
- Develop and maintain quality assurance policies, procedures, and performance standards.
- Conduct audits and assessments to identify risks, inefficiencies, and opportunities for improvement.
- Analyze performance data to identify trends and drive strategic improvements.
- Ensure timely and accurate reporting of audit findings, control gaps, and remediation efforts.
- Establish and maintain documentation standards, templates, and procedures to ensure consistency and compliance.
- Monitor regulatory changes and ensure documentation practices align with industry requirements.
Other
- Lead and manage a team of trainers, quality assurance analysts, and documentation specialists.
- Collaborate with department leaders to assess training needs and align learning strategies with business goals.
- Stay current on industry trends, adult learning principles, and instructional design best practices.
- Support change management initiatives through targeted training and communication efforts.
- Provide coaching and guidance to staff on quality standards and financial control procedures.
