The Supervision Offshore Team is a dedicated business aligned team whose main responsibility is to help the business manage its regulatory obligations, operational risk, and supervisory requirements. 

As an International Supervisory Specialist in Central Supervision on the Supervision Offshore Team, you will be responsible for supporting the team in day-to-day responsibilities and on broader projects in all aspects pertaining to the Supervision Team.

 

Job Responsibilities 

Submitting requests to business partners to update records and following-up on those requests to ensure completion (e.g., DSP / U4 Updates, etc.) Preparing information in support of Field SM responsibilities (e.g., Branch Visit Reviews, Advisor Reviews, Risk Reviews, etc.) Preparing information in support of Supervision’s Sales Practice Review Team Handle all miscellaneous requests related to the process and assist the team with research and investigation, as required.

Required qualifications, capabilities, and skills

Build strong working relationships with cross-functional and regional teams as a team player. Demonstrate self-motivation, strong time management, and organizational skills, while effectively working with various personalities. Communicate effectively in writing and verbally, and summarize feedback clearly. Identify and reduce operational risks, document procedures, and determine requirements for additional controls as needed. Analyze data or process flows and generate innovative ideas for improvements. Adapt to a fast-paced environment, handle multiple tasks through effective prioritization, and consistently meet deadlines. Utilize MS Excel skills, including pivot tables, V-lookups, and sorting and filtering data.

Preferred qualifications, capabilities, and skills

Bachelor’s Degree preferred Advanced knowledge of securities industry rules, regulations and guidelines and significant and equivalent experience in a directly related securities industry position may substitute for bachelor’s degree Fluency in English. Other languages are a bonus