Participating in all supervisory responsibilities of the Central Supervision department, including the review of email correspondence, written correspondence, consolidated reports, and same day trading, while also providing additional leadership within the department. Understanding and applying SEC and FINRA regulations to the supervision department. Serving as subject matter expert on specific areas of supervision in conjunction with the department manager. Assisting with initial training and ongoing development of Regional Supervision Principals and acting as first point of contact for the RSP’s day-to-day operations. Implementing and managing Quality Assurance programs for RSPs. Assisting management and other supervisory/compliance personnel on escalated issues and regulatory requests. Maintaining effective working relationships with areas across the organization. Maintaining quality customer relations with emphasis on service, quality, and support of business objectives. Working independently to ensure department deadlines are met and service levels are maintained. Assisting with efforts related to aligning broker-dealers across policy and systems, including cross-training of RSPs. Coordinating and leading weekly pod meetings, facilitating communication, training, and coverage throughout the department. Working with management to set clear team and individual goals. Monitoring team and individual performance, report on metrics, and provide recommendations to management.