Job Description

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Job Description

Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth. 

We have an immediate need for a Supervisory Officer with extensive knowledge of FINRA and SEC regulations. 

Responsibilities include, but are not limited to:

• Provides operational and supervisory support to branches
• Reviews all documents from branches that require one-up approval to ensure in compliance and in good standing before submitting for approval and/or processing
• Manage queues of alert-based supervisory flags and works with the branches and branch leadership to address identified risks
• Compiles and reports trend based analysis of product usage and risk factors for assigned product areas
• Conducts marketing material review such as presentations, social media use, email campaigns and others.
• Assists with Compliance testing for assigned risk/product areas
• Audits and reviews Division level managers' emails via Purview 
• Collects and audits Manager's Monthly reports for all W2 branches
• Ensures Managers are complying with documentation requirements for Financial Advisors
• Performs other duties as required and assigned

Experience and Skills

• Bachelor's Degree, preferably in related field
• Must have Series 7 and 24 Licenses
• Prefer to have Series 4 and 53
• Knowledge and understanding of SEC, FINRA, MSRB and State rules and regulations
• Knowledge and experience supervising trading activities
• Strong analytical, problem-solving, and critical-thinking skills
• Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint)
• Organized and able to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiency
• Strong verbal and written communication skills
• Ability to work in a constant state of alertness and safe manner

What We Offer

As part of our overall compensation package, Wedbush Securities offers an array of diverse benefits to all our colleagues. We believe that providing competitive benefit options yields the advantageous reward of establishing a healthy and inclusive foundational work culture.

• Comprehensive medical, dental, and vision coverage with multiple health plan options for you and your family
• Health Savings Account with company-sponsored contributions
• Flexible Spending Accounts (FSA) traditional and dependent care
• Pre-Tax Commuter Benefits
• 401(k) plan with discretionary, competitive company matching and profit-sharing contributions
• Tuition reimbursement up to $5,250/year
• 3 weeks of Paid Time Off
• 2 weeks of Paid Sick Time (may vary by location)
• 10 Paid Holidays
• Charitable Donation Matching Contributions
• Paid Leave (Parental Bonding, Military, Jury Duty, Volunteer Time Off, Disability, etc.)
• FINRA License Sponsorship
• Travel & Employee Assistance and Employee Discount Programs

The reasonable estimate of the compensation range for this role has not been adjusted for the applicable geographic location. A reasonable estimate of the current range is $89,000 to $118,000. Colleagues may be eligible for additional, discretionary incentive compensation based on the colleague's and the firm's performance. Decisions regarding compensation are determined on a case-by-case basis and are dependent on a variety of factors including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs.

Wedbush Securities (WS) is proud to be an Equal Employment Opportunity employer. WS does not discriminate based on race, religion, color, creed, sex, sexual orientation, gender, gender identity or expression, national origin, ancestry, citizenship status, registered domestic partner status, uniform service member status, marital status, pregnancy, age, medical condition, disability, genetic information, family care or medical leave status, or any other consideration made unlawful by applicable federal, state, or local laws, or on the basis that an applicant or Colleague is perceived to have these characteristics or is associated with someone who is perceived to have these characteristics. WS aims to foster a culture of inclusion where all Colleagues are valued for their unique contributions to the firm as well as provided equal opportunities to succeed.

Wedbush uses E-Verify, an Internet-based system, to confirm the eligibility of all newly hired employees to work in the United States. Learn more about E-Verify, including your rights and responsibilities here https://www.e-verify.gov/employees/e-verify-overview

This position is subject to various laws or regulations that impose restrictions or prohibitions for employment with Wedbush due to criminal history. Those laws or regulations include but are not limited to, the following: Securities Exchange Act of 1934 (SEA) Rule 17a-3, et. seq,, Financial Industry Regulatory Authority (FINRA) Rules 3110(e), Rule 4530(a), etc., and FINRA Regulatory Notice 07-55.

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