FINRA: Retail Branch Office Supervision: Understanding Supervisory Responsibilities

Overview

This course covers the regulatory and compliance obligations of retail branch office managers and supervisors. Scenarios address hiring practices, monitoring of sales activity and communications, and delegation—and the consequences of not fulfilling supervisory obligations.

Learning Objectives

Students who successfully complete this course will be able to:

  • recognize the importance of knowing the products and business you are supervising
  • probe deeper during the hiring process to uncover candidate information that’s not readily available or offered during an interview
  • implement control procedures and establish accountability when delegating supervisory tasks
  • describe your supervisory obligations to conduct routine reviews of associated persons’ sales activities and communications
  • promptly identify, follow up on, and escalate “red flags” when supervising your associated persons
  • explain the consequences of failing to adequately supervise

Designed for

Registered principals

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