Director of Energy Portfolio Management at Walmart focusing on affordable, reliable, and clean energy strategies. Leading the management of energy spend across deregulated U.S. markets.
About the role
- Regional Supervision Director overseeing supervisory responsibilities in financial services across multiple locations. Engaging with OSJ Managers and ensuring compliance with industry regulations.
Responsibilities
- Provides support to the SRVP by assuming delegated responsibilities and providing other supervisory assistance as required
- Maintains an ongoing positive relationship with Financial Professionals, OSJ Branch Managers and support staff in collaboration with the SRVP, Compliance, and Advisor Engagement
- Engage in Supervisory Office Visits with assigned OSJ Managers to promote company supervisory practices
- Monitors, reports, and enforce internal controls to ensure compliance with industry regulations and the firm’s policies and procedures
- Conducts reviews based on findings that violate the firm’s current guidelines and takes appropriate corrective action as needed
- Development of new OSJ branch managers and staff regarding firm policies and procedures for compliance
Requirements
- 5+ years of financial industry experience
- 2+ years of related experience
- FINRA Series 7, 24, 66 (or 63 / 65) are required
- Required technical strength to work within the firm’s technology and Microsoft office tools
- Strong understanding of relevant FINRA and SEC rules and regulations
- Thorough knowledge of securities products (i.e., mutual funds, variable annuities, alternative investments, and individual securities)
- Ability to effectively handle and prioritize multiple tasks in a fast-paced team environment to meet defined deadlines
- Ability to travel approximately 25%
Benefits
- health, vision, dental insurance
- 401k
- paid time away
- volunteer days
- annual bonus
- competitive compensation package
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