Phone: 212-851-8414
Fax: 212-851-8405

Branch Office Management and Supervision

Method: Instructor-led training

Time: 8:30 am - 5:00 pm

Instructors: Robert Watts and David Fischer-Lodike

Download Course Agenda

This course further examines industry best practices and SRO/Regulator supervisory requirements with a targeted focus on branch management and branch office supervision, supervisory and compliance roles, hiring practices and heightened supervision and other supervisory issues and concerns. Participants study and apply proven methods of effective supervision through a series of relevant case studies and industry examples.

Learning Objectives:

  • Branch office supervision, including branch office definition, branch management issues and concerns, pre-post employment screening, hiring and firing practices, branch office audits and inspections and registration of branches
  • Supervision of emails, correspondence, sales materials and customer accounts
  • Role of supervisors vs. compliance officers
  • Effective hiring practices used to eliminate high risk representatives
  • Special or heightened supervision of registered representatives and supervision of a producing branch manager (Rule 3012)
  • Supervision case studies and examples

Who should attend:

  • Branch office managers, supervisory staff, attorneys, auditors, compliance and operational risk staffs.

Branch Office Management and Supervision - Course Agenda

8:30 am – 9:00 am

Registration and Continental Breakfast

9:00 am – 9:15 am

Welcome and Introduction

9:15 am – 10:30 am

Branch Office Supervision

  • Definition of and types of branch offices
  • Discussion of branch office roles and responsibilities
    • Supervisory structure / assigning responsibility
    • Inspection reporting requirements

10:30 am– 10:45 am

Break

10:45 am– 12:00 pm

Supervision of Sales Practices

  • Supervision, surveillance and internal inspections
  • Compliance procedures vs. supervisory procedures
  • Surveillance of sales practices
  • Independent testing / internal inspections
  • Risk assessment as it pertains to exam cycles / types

12:00 pm – 1:00 pm

Lunch

1:00 pm – 2:15 pm

Role of the Compliance Department

  • Staff vs. line managers
  • 3012 and 3013 reporting
  • Applicability of FINRA Rule 2330 (formerly Rule 2821)

2:15 pm – 3:15 pm

Hiring Practices and Operations

  • Procedures and industry practices
  • Regulatory filings
  • Review and background check of hiree
  • Consequences of supervision and compliance failure

3:15 pm – 3:30 pm

Break

3:30 pm – 4:30 pm

Heightened Supervision Program

  • Employees with a problematic background
  • Restriction of activities
  • How as a firm do you design your heightened supervision program?
  • Taping and archiving systems
  • Statutorily disqualified persons
  • Management options for employee discipline
  • Customer complaints
  • Regulator’s expectations

 

Wrap-up

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Programs

Programs consist of access to private online groups. In-person classroom training features presentations, real-life case studies, exercises, and lively discussions.

Volume Discounts

Receive a 10% discount when three or more employees register for the same course at the same time. Groups of ten or more receive a 15% discount.

Upcoming Courses

There are no upcoming events.

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