Supervision Manager, Supervisory Solutions

• Manages supervision oversight, ensuring adherence to firm and regulatory policies and procedures
• Monitors day-to-day activities of financial advisors and registered sales assistants to ensure compliance
• Perform reviews of client accounts and documents submitted by the branch
• Educates branch staff associates
• Escalates concerns to senior management and may propose new policies or procedures regarding risk
• Review and analyze monitoring reports and systems for suspicious/unusual patterns and follow-up
• Coordinates registrations, continuing education, licensing, etc. of branch personnel
• Oversees branch activities
• Interfaces with specific business platform sales management associates to inform them of any supervisory concerns
• Implements and enforces policies and procedures for all business platform branch office locations not currently staffed with a licensed and qualified branch manager
• Monitors and keeps up to date with securities/advisory regulations and applies them accordingly
• Interprets, applies and recommends changes to organizational policies and procedures
• Handles all administrative matters in the hiring/termination of FA and their transition in and out of the branches
• Monitors Supervisory Center alerts and handles any necessary follow-up
• Researches and resolves complex problems relating to clients’ accounts and inquiries
• Identify needs of the team and find solutions to complex issues
• Communicates with the field regarding regulatory rules and firm policy changes
• Serve as the face of the organization and advocate for the branches we oversee
• Ensure any identified policy violations or branch deficiencies are addressed with the branch and fully remediated
• Travel to branch locations to perform required annual Branch Manager Supervisory Visits

• Bachelor’s degree (B.A.) from four-year college or university, and a minimum of six (6) years’ experience in a financial services firm / supervision
• An equivalent combination of experience, education, and/or training as approved by Human Resources
• SIE required provided that an exemption or grandfathering cannot be applied
• Series 7, 9/10 or 24, 66 or 63/65 required
• Knowledge of Company policies and procedures and industry rules and regulations
• Knowledge of Investment concepts, practices and procedures used in the securities industry, financial markets and financial products
• Skill in Operating standard office equipment and using required software applications
• Skill in Preparing and delivering clear, effective, and professional presentations
• Skill in Identifying the needs of customers through effective questioning and listening techniques
• Skill in Handling stressful situations and leading others in providing a high level of customer service
• Ability to Travel extensively to perform required branch visits

Series 53, Life, Health and Variable Annuity Licenses preferred