Home Office Supervisor
Calton & Associates, Inc. Overview
Calton & Associates is a one of the nation’s long-standing independent broker/dealers and is also a registered investment adviser.
Founded in 1987, Calton & Associates has built a solid foundation for supporting independent representatives and financial
advisors and the growth of their business. Through a comprehensive range of financial products and services, Calton &
Associates helps advisors pursue the appropriate financial solutions to support their clients’ needs. With over 100 offices
nationwide Calton & Associates is a family friendly broker/dealer for quality advisors who want independence along with
support to grow their business.
Support the Head of Supervision in reviewing trades, new account forms, for suitability, etc. Identify irregularities, and potential
areas of risk; develop and implement corrective action plans for resolution and help to mitigate future risk.
Essential Job Duties & Responsibilities
- Review daily trade blotters for compliance with the firm’s policies and procedures and industry regulations.
- Monitor and report on daily specific reviews as well as exception reports.
- Review for thoroughness and accuracy new account and trade paperwork.
- Assist the Compliance Department in their preparation for branch audits.
- Monitor and review representatives’ emails.
- Assist Branch/OSJ Managers with their daily reviews and other supervisory tasks.
- Provides assistance and guidance to registered representatives regarding compliance issues, firm policies and
procedures and industry regulations.
Education and Experience
- Bachelor’s degree preferred but not required
- Relevant work experience: minimum 2 years
- Series 7 & 24 required
Skills and Abilities
- Strong knowledge of FINRA, SEC and state regulations
- Solid verbal and written communication skills
- Strong research, investigative and interpretation skills
- Ability to research and interpret new rules and regulations
- Strong attention to detail
- Must be able to work independently
- Strong knowledge of financial services products
- Strong knowledge MS Office and other relevant computer applications
Compensation and Benefits
- Base salary
- Company profit sharing plan
- Company 401(k) and matching program
- Medical coverage
- Dental coverage
- Life insurance coverage