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As a Fortune 200 financial services organization, USAA is on a mission - to facilitate the financial security of our members, the men and women of the U.S. military and their families worldwide by providing a full range of financial services and products. Headquartered on a showcase campus in San Antonio, TX, USAA attributes its long-standing success to its most valuable resource, our 26,000 employees. They are the heart and soul of our member-service culture.
Recently Ranked # 17 in Fortune's 100 Best Companies to Work For in 2014 and marking our fifth straight year in the list's Top 50 , we are proud to receive consistently outstanding awards and ratings for member service, employee well-being and financial strength. Everything that happens at USAA is based on our core values: Service, Loyalty, Honesty, and Integrity . These are the foundations of how we do business with our members, as well as how we treat each other.
We are currently seeking talented Regional Supervision Director, East Coast. The selected candidate will office in our Tyson's Corner office in McLean, VA .
PURPOSE OF JOB
Serves as a liaison between Director, WM Regional Executive, and frontline leadership and employees on all matters related to risk management including compliance adherence and related supervision in their region. Duties include identification and facilitation of steps that will mitigate risks for the region, as well as collaboration and coordination with Enterprise Compliance and Wealth Management as they relate to these items.
- Collaborate with Centralized Supervision Team and Regional Leadership to mitigate operational and compliance risks. Responsible for the prudent risk management of multiple branch office locations within a specified geographical region.
- Facilitate Completion of Action Plans on issues Identified by centralized supervision team (i.e. correspondence, complaints, and suitable sales recommendations). Make suggestions for the long-term fix and ensures no repeat findings.
- Coordinates with Enterprise Compliance in the development of appropriate written supervisory procedures. Facilitate updating documentation on an annual basis with key stakeholders and ensure that the proper expectations are established throughout the organization.
- Leads projects with a risk management or compliance focus and identifies process improvements. Goal of these initiatives are to improve the organization's ability to identify risk and prudently resolve open issues.
- For their responsible branches, leads training and is present during external regulatory visits, as appropriate, and compliance exams. Coordinates audit exam responses and performs branch office self assessment tests.
- Ensures seamless transition of office leadership and assists in the opening of new branch offices.
- Bachelors Degree or equivalent (6 years) work experience.
- Minimum 8 years of leadership experience in the financial services industry including supervision of registered representatives or in a compliance and/or risk management role.
- Series 7 and acquisition of 24 within 90 days of hire.
The above description reflects the details considered necessary to describe the principal functions of the job and should not be construed as a detailed description of all the work requirements that may be performed in the job.
- Bachelors in Finance, Accounting, or other related field.
- Masters Degree.
- CFP Designation.
- Life and Health license or attainment of Life and Health license within 120 days of hires.
- Ability to collaborate and build strong relationships with internal business partners.
- Ability to interact with external regulators and internal securities compliance teams.
- Ability to anticipate situations that could give rise to risk management issues and proactively determine an approach to mitigate those risks.
- Strong communication skills including the ability to present complicated concepts in a clear manner.
- Ability to facilitate training sessions; manage projects, and execute change management initiatives.
At USAA our employees enjoy one of the best benefits packages in the business, including business casual dress environment, comprehensive medical, dental and vision plans, along with wellness and wealth building programs. Additionally, our career path planning and continuing education will assist you with your professional goals.
USAA also offers a variety of on-site services and conveniences to help you manage your work and personal life, including seven cafeterias, two company stores and three fitness centers.
Relocation assistance is not available for this position.
Qualified applicants must successfully complete a pre-employment background and drug screen.
USAA is an Equal Opportunity/Affirmative Action Employer.
Percentage of Travel:
More than 50%
USAA - 7 months ago
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