We're looking for a Market Supervisory Officer to:
*Drive initiatives related to sales supervision, compliance and business risk, including implementation and education
* Coach the supervisory team, provide training on supervisory tools, new compliance bulletins and operational procedures
* Manage review of various supervision processes to ensure appropriate review has occurred and sustainable processes are in place
* Support branches in the Branch Review and Group Internal Audit processes, visiting branches, and working on action plans for those with failed audits
* Partner with Compliance on all compliance matters, including providing input to policy and supporting communication of policies
* Partner with branches in the Branch Review process, visit branches and develop action plans for those with failed audits. Examine market audit results and develop action plans based on trends.
* Coach and manage the use of the Branch Self-Assessment process by branches
* Address systemic supervisory and emerging business issues, escalating as required
* Develop and implement training on supervisory tools, new compliance bulletins and operational procedures
Your expertise
* Ideally 5-8 years of experience as a risk/supervisory manager, or other substantive leadership role with a leading financial institution
* Series 7, 8 (or 9/10), 66 (or 63/65); insurance a plus
* Track record of leadership, mentoring and coaching success
* Great communicator (and you know how to handle challenging situations)
* Reliable when working independently, with sound judgment for when to escalate issues
* Quickly adaptable to changing market situations, technology and business needs
* Mandarin and/or Cantonese language skills
LOCATION: SAN FRANCISCO OR PASADENA CA