Supervision Officer in Memphis, TN at First Horizon National Corporation

Date Posted: 11/25/2019

Job Snapshot

  • Employee Type:
    Full-Time
  • Location:
    Memphis, TN
  • Job Type:
  • Experience:
    1 to 3 years
  • Date Posted:
    11/25/2019
  • Job ID:
    SUPER01368

Job Description

First Horizon Advisors is seeking a positive professional who has an interest in investing and the rules and regulations of the securities industry to join our Principal Review Desk. This position is responsible for the daily supervision of Financial Advisors and other First Horizon associate’s activities in accordance with the firm’s written supervisory procedures.

The right candidate will have the ability to build relationships with advisors, client specialists and other First Horizon departments while working in a high volume, fast paced environment. In this role, the Supervision Officer will apply industry knowledge when responding to inquiries and requests while ensuring client protection. This individual is expected to increase their knowledge and application of the laws, regulations, products and ethical standards of the securities industry.

Additionally, the Supervision Officer will:

  • Enforce the firms written supervisory policies and procedures, continually assess them to identify improvement opportunities and work with Compliance and other Departments to enhance them.
  • Be responsible for the review and approval of new account openings.
  • Review and assess suitability associated with select new accounts and/or products.
  • Daily supervision of product and service offerings utilizing various tools and expertise to discover, escalate, resolve and follow-up on issues. Associate will need to investigate, document and follow-up.
  • Identify, evaluate, document, and decision trades flagged in Protegent as exceptions for suitability in accordance with FINRA rules and industry regulations.
  • Review and analyze select trade situations and work with the field to resolve.
  • Escalate supervisory issues as warranted and provide relevant recommendations as to appropriate actions to be taken.
  • Partner with Managing Directors in the field to help them resolve exceptions in a timely manner.
  • Use Global Relay to review inbound & outbound electronic correspondence to ensure the content of electronic communications are appropriate and meet regulatory standards.
  • Provide support to other Principal Review Desk members with projects and initiatives.
  • Proactively evaluate controls and identify opportunities for enhancements.

Job requirements:

  • Bachelor’s Degree
  • At least one to three years of experience in the securities/investment industry
  • FINRA licenses Series 7, 24, and 63/65 or 66
  • Appropriate state(s) Life & Health Insurance Licenses
  • Investment product sales process and product knowledge preferred
  • Retail brokerage and/or annuity experience strongly preferred
  • Excellent interpersonal, verbal, and written communication skills; ability to liaise with all levels of management and to work effectively in a team environment
  • Proficient in Microsoft Office applications
  • Strong attention to detail, organization and analytical skills
  • Pro-active, motivated and enthusiastic
  • Ability to coordinate with others, set and achieve goals, and resolve problems while maintaining a strong sense of teamwork
  • Good research, analytical and problem solving skills
  • Effective time management skills in order to meet service level agreements and/or project deadlines
  • Ability to process tasks and resolve issues in a timely and accurate manner while demonstrating accountability in all work responsibilities
  • Prioritizes time well, adapts to changing priorities and multiple demands
  • Ability to excel in a fast-paced, changing environment
  • Ability to focus on detail while effectively handling multiple responsibilities with high degree of accuracy
  • Exercises sound and ethical judgement at all times

#LI-AK1



Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities

The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor’s legal duty to furnish information. 41 CFR 60-1.35(c)