Division Supervision Manager
Core
Oversees supervisory and risk functions for a division of financial advisors, ensuring compliance with laws and firm policies.
Role type
Division Supervision Manager
Builds
A compliant and controlled environment for financial advisors and branch management teams
Domain
Financial Services / Securities Industry
Deliverable
client delivery
Required skills
Risk mitigation, policy enforcement, supervisory functions, regulatory compliance, conflict resolution, team leadership, project management, analytical problem solving, stakeholder management
Preferred skills
Training and development, special project management, vendor compliance review
Technologies
Standard office equipment, spreadsheets, databases, electronic communication tools
Responsibilities
Partner with management to oversee supervisory functions and risk mitigation; facilitate escalated supervisory inquiries; review and advise on compliance policies; conduct periodic reviews of supervisory matters; liaise with Legal and Compliance on customer complaints; provide education on processes and policies; manage special projects.
Seniority
Mid-Senior, hands-on IC