Sales Supervision Manager - Specialized Trends and Reports
Core
Review business trends across advisor practices, supervise business activities to mitigate risk, and ensure compliance with regulatory standards.
Role type
Senior compliance supervision manager (financial services)
Builds
Supervisory reports, risk mitigation strategies, and advisor training programs
Domain
Financial services / Wealth management / Regulatory compliance
Required skills
Analytical problem solving, regulatory knowledge (SEC), coaching and education, written and verbal communication, strategic thinking, technology proficiency
Preferred skills
Active Series 24 and 63/65/66 licenses, ability to handle complex issues independently
Technologies
Supervisory systems and tools
Responsibilities
Conduct sales practice reviews for securities, options, annuities, insurance, and managed accounts; Supervise specialized reports to identify policy violations and trading patterns; Communicate supervisory results and recommendations to advisors and field leaders; Deliver one-on-one training and education to advisors; Resolve suitability issues with clients; Represent the firm in regulatory examinations and investigations; Maintain team health and establish development goals