Senior Advisor, Branch Manager Supervisory Principal

**Essential Duties and Responsibilities:**

• Responsible for supervisory oversight of client activity and ensures adherence to firm and regulatory policies and procedures.

• Performs reviews of client accounts and documents that are submitted on behalf of branch managers that require supervisory oversight.

• Educates branch staff associates.

• Escalates concerns to senior management and may propose new policies or procedures regarding risk; adhering to compliance and operational risk controls in accordance with company and regulatory standards.

• Reviews and analyze supervision monitoring reports and systems for suspicious/unusual patterns and follow-up with appropriate individual(s) for explanations and actions.

• Interfaces with business platform division supervision and/or division management associates to apprise them of any supervisory concerns regarding branch offices.

+ Works with division supervision and/or division...

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