Investment Advisory Supervision and Oversight Lead

#LI-Hybrid

Overview

The Investment Advisory Supervision & Oversight Lead is responsible for the operational and regulatory supervision of all Investment Advisor Representative (“IAR”) accounts within the IAR Channel. This role ensures adherence to KoCAA standards, regulatory requirements, and internal policies governing advisory operations.

This role leads and supervises investment supervision support staff and serves as a key partner to Compliance, Operations, external vendors, and field leadership. While sales supervision remains the responsibility of assigned General Agents (or GSM in California), this role is accountable for the integrity, consistency, and oversight of advisory account operations and controls.

Core Responsibilities

• Review and supervise the following activities to ensure consistency with KoCAA standards and regulatory expectations:
• New client account openings (daily)
• Model portfolio changes (monthly)
• Client annual account reviews (quarterly)
• Marketing activity logs (monthly)
• Brokerage statements and transaction activity (quarterly)
• Investigate potential trade errors and operational exceptions; document findings and make corrective recommendations.
• Participate in, and progressively lead, compliance audits in partnership with the Compliance team.
• Conduct additional supervisory reviews and operational controls as required (e.g., annual certifications, management reports, exception tracking).

• Supervise and develop Investment Supervision staff, ensuring timely execution of all supervisory activities.
• Establish, document, and refine supervisory processes and controls supporting the IAR Channel.
• Produce recurring and ad hoc reporting related to supervisory findings, trends, risks, and operational performance.

• Develop strong working relationships with internal stakeholders and external partners to support asset growth, risk mitigation, and operational excellence within the IAR Channel.
• Serve as a subject matter expert on advisory operations, proprietary investment products, and related compliance obligations.
• Maintain proficiency in required third-party systems and vendor platforms (e.g., ComplySci, SEI, Profiles Professional).
• Maintain required securities registration, including FINRA Series 65.

Skills Qualifications

Required

• Proven ability to communicate effectively with IARs nationwide and enforce supervisory and compliance standards.
• Demonstrated ability to foster collaboration while maintaining independent oversight.
• Exceptional attention to detail with a commitment to quality and accuracy.
• High ethical standards aligned with organizational values.

Preferred

• Proficiency with Microsoft Office (Excel, Word, PowerPoint).
• Strong interpersonal and customer service skills.
• Entrepreneurial mindset and comfort operating in a growing advisory environment.
• Public speaking or presentation experience.
• Direct experience working with Investment Advisor Representatives.

Education

Required

• Bachelor’s degree in finance, marketing, or a related field.
• Active FINRA Series 65 license.

Preferred

• MBA or progress toward an advanced degree.
• Four or more years of related experience in advisory operations, supervision, compliance, or a comparable combination of education and experience.
• Demonstrated interest in investments, advisory services, marketing, and regulatory compliance.

Compensation

The wage range for this role takes into account a broad array of factors that are considered in making compensation decisions, including but not limited to: skill sets; experience and training; licensure and certifications; and other business and organizational needs.  The range below applies as long as the work is performed in Connecticut; the Knights of Columbus reserves the right to adjust the wage range if the position is performed in another location.  At the Knights of Columbus, it is not typical for an individual to be hired at or near the top of the range for their role, and compensation decisions are dependent on the facts and circumstances of each case. A reasonable estimate of the current range is $138,000 - $234,500.

Authorization to work in the United States is required.

This position is not elible for visa sponsorship.

Physical Demands