OSJ Delegate

OSJ Delegate

Job Overview:

We are currently looking to hire an OSJ Delegate within the Compliance department of Great Valley Advisor Group in either our Berwyn, PA, or Doylestown, PA locations. This position will report to the firm’s Supervisory Principal and is responsible for assisting with specific tasks around the OSJ review tool. This position will be responsible for supervising transactions, email reviews,  trade blotter reviews, communications, and other compliance items. The goal is focused on ensuring that GVA advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm.

Responsibilities:

• Review and approval of the firm’s trade blotter
• Review and approval of the firm’s email review tool
• Review and approval of specific communications
• Act as key contact and subject matter expert for Financial Advisors and OSJ Supervisors, and assist in any advisor issues in regards to GVA’s compliance tools
• Assist with regulatory exams and requests as well as assist with the maintenance of the department’s written supervisory procedures.
• Assist with ad hoc project requests from the GVA compliance team

Requirements:

• 4+ year’s industry experience
• Licenses/Certifications Required: Series 7, 66 (or 63 and 65), 9 and 10 (or Series 24 & 53)

Core Competencies:

• Experience with all Microsoft applications, particularly Excel
• Flexible work schedule
• Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
• Excellent oral and written communication skills
• The ability to make regulatory and supervisory-based decisions will be necessary to complete the day-to-day functions of the role
• Proactive collaboration and service-based responses with business partners on escalated issues and concerns are essential
• Ability to develop compliance systems and strategies for effective supervision
• Knowledge of mutual funds, annuities, general securities, and other financial products required
• Knowledge of FINRA, SEC, and State rules and regulations
• A passion for improving processes so they can be followed easily and lead to excellent results

Preferences:

• Undergraduate degree in Business, Accounting, Finance, or related discipline.

Pay Range:

This is a part-time position with a pay range of $30-$35/hour.

Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location.

Key Behaviors

Collaborative | Takes Initiative | Proactive | Diplomatic | Discerning | Adaptable | Autonomous | Thorough | Decisive | Efficient | Highly Organized | Timely | Exceptional Communication (written & oral) | Technologically Skilled | Leads Change Management | Team Oriented