Sales Supervision Mgr
Core
Review advisor-created marketing materials (ads, videos, websites, social media) for compliance and provide feedback/coaching to ensure fiduciary standards are met.
Role type
Senior compliance supervisor (financial services marketing)
Builds
Compliant marketing communications for financial advisors
Domain
Financial services / Wealth management / Regulatory compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Risk-based judgement, regulatory analysis, coaching, process improvement, stakeholder communication, documentation, prioritization
Preferred skills
Complex issue analysis, influencing behavior, cross-functional collaboration
Technologies
N/A
Responsibilities
Approve or reject advisor marketing materials based on risk-based analysis; coach advisors on compliant content creation; represent the firm in regulatory examinations and investigations; maintain team health and development goals; collaborate on process efficiencies.
Seniority
Senior, hands-on IC
