**Essential Duties and Responsibilities**

+ Partners with Division and Branch management teams within the assigned territory, overseeing supervisory functions, risk mitigation, and policy enforcement with Advisors and Branch Management.
+ Participates in Division meetings to discuss strategies and communicate updates/changes to policies and procedures.
+ Ensures Complex/Branch Managers are informed and involved in supervisory and risk management issues through regular meetings, reporting, metrics, and escalations.
+ Assists in creating and presenting quarterly risk and supervisory updates to Divisional Leadership teams.
+ Facilitates escalated supervisory inquiries or processes from Advisors and Branch Management teams.
+ Acts as an escalation point for Supervision’s Centers of Expertise, resolving supervision issues with advisors and/or branch management.
+ Reviews and advises on supervisory processes and compliance policies requiring senior management appro...