Normally confused with Compliance oversight, supervision is a responsibility of the sales supervisor (depending on the size of your broker-dealer, your business head, CEO, or other sales designation that is responsible for your sales force).
Some dealers place this responsibility over Compliance, making them De Facto supervisor, and having to create an structure to permit this conflict of interest (e.g. if Compliance audits any supervisory processes or seeks to provide a neutral oversight of supervision, having the same department effecting and supervising requires an additional loop of review and disclosure). This also brings additional liability to the Compliance person as signing as a sales supervisor (Series 24) brings the responsibility of the review upon his/hers shoulders.
With this in mind, RISC offers Sales Principals ongoing support to ascertain his/her responsibilities are conducted free of conflict and permit Compliance to independently provide the intended support. We have several models that may fit your profile, some remote, some in-site, depending on your needs, experience and comfort level regarding Sales Supervision.