Manager, Registered Sales Associates
Core
Supervises front office and client-facing activities of registered representatives in retail brokerage, ensuring compliance with regulatory requirements and internal policies.
Role type
First-line Sales Supervision Manager
Builds
Retail brokerage operations and compliance adherence
Domain
Financial Services / Wealth Management / Retail Brokerage
Required skills
Regulatory compliance knowledge, performance management, coaching and development, risk mitigation, analytical skills, communication, organizational skills, project management
Preferred skills
FINRA/SEC law expertise, trade activity review, client complaint resolution
Technologies
FINRA SIE, 7, 7TO, 66, 24, 4, 53, 52, 53TO registrations
Responsibilities
Monitor and review partner procedures for regulatory compliance, review trade activity and exception reports, conduct performance management and training, coordinate partner onboarding and development, identify and resolve client complaints and audit issues, collaborate with operations and compliance groups
Seniority
Manager, hands-on IC