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CommunityAmerica Credit Union OSJ Manager in Lenexa, Kansas

The OSJ Manager for CommunityAmerica Financial Solutions, LLC (“CAFS”), a dually registered broker-dealer and registered investment adviser, is responsible for the supervision of the firm’s financial professionals in accordance with applicable regulatory requirements and CAFS written supervisory procedures. The position is focused on mitigating risk by identifying potential policy violations and/or sales practice concerns and addressing or escalating appropriately. Provides a high-level of service through providing ongoing and proactive education, support, and training to financial professionals to support a strong culture of compliance within CAFS.

  • Conduct review of securities and insurance transactions, including pre-approval of variable annuity business.

  • Review and approval of new accounts

  • Conduct post-review of written correspondence and electronic communications (e.g. email, social media activity)

  • Analysis and resolution of exceptions identified by Compliance

  • Conduct periodic audits of financial professionals activities and business

  • Work with financial professionals to address deficiencies noted in branch examinations

  • Build strong working relationships with financial professionals while maintaining appropriate independence

  • Strong working knowledge of CAFS written supervisory procedures to provide education and support to financial professionals

  • Create reports for senior management on supervisory matters or reviews

  • Collaborate with and provide guidance to other departments on supervisory matters

  • Provide input on supervisory procedures and processes

  • Promote honest and open communication throughout CAFS

  • Demonstrate behaviors that are consistent with CAFS’ values, philosophies, and leadership characteristics

  • Work with all employees to ensure the workflow or process is providing the best possible service.

  • Special projects and other duties as assigned

Education and Experience

  • Bachelor’s degree preferred in business administration or related field.

  • Five years of compliance, supervisory, or regulatory experience within a broker-dealer or RIA

  • FINRA S7, S24 and S66 (or equivalent) required. Series 4 and 53 preferred or obtain within 90 days of hire. Life insurance licensing also preferred or ability to obtain within designated time period.

Knowledge, Skills, and Abilities

  • Knowledge of mutual funds, annuities (fixed and variable), advisory programs, and general securities required.

  • Ability to analyze complex information and make supervisory decisions based on solid understanding of FINRA and SEC requirements and firm procedures.

  • Organized self-starter with the ability to manage work autonomously and complete work timely and with a high degree of quality.

  • Strong attention to detail and excellent problem-solving skills.

  • Risk mitigation mindset when reviewing information with a focus on collection of appropriate information, development of action plans and communication risks and appropriate next steps.

  • Ability to apply principles of logical thinking to define problems, collect data, establish facts and draw valid conclusions; must be able to deal with abstract and concrete variables.

  • Ability to discern issues that warrant escalation to management.

  • Excellent analytical abilities with good business judgement are essential.

  • Excellent interpersonal skills to include oral and written communication.

  • Ability to handle confidential matters with discretion and in a professional manner.

  • Strong proficiency with Microsoft Excel preferred.

  • Experience with CRM and other broker-dealer operations or supervisory applications preferred.

  • Demonstrate flexibility and the ability to work as a member of a team.

  • Ability to resolve interpersonal conflict and miscommunications.

  • Ability to interact with all levels of management.

  • Must be able to be bonded.

ID: 1274

External Company Name: CommunityAmerica Credit Union

External Company URL: https://www.communityamerica.com/

Street: 9777 Ridge Dr