Senior Manager, RJFS Supervisory Solutions
Core
Lead a team of Home Office Branch Managers to provide supervisory oversight and support to branches in the Supervisory Solutions program, ensuring regulatory compliance and protecting client interests.
Role type
Senior Manager, Supervisory Solutions
Builds
Supervisory programs, procedures, resources, and controls for financial advisors
Domain
Financial Services / Securities Regulation
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Securities industry rules and regulations knowledge, Investment products and financial markets knowledge, Analytical and critical thinking, Problem-solving, Written and verbal communication, Multi-priority management, Stakeholder influence and credibility building, Coaching and mentoring
Preferred skills
Managerial experience leading direct reports, Cross-functional resource leadership
Technologies
Compliance frameworks, Supervisory tools
Responsibilities
Lead, coach, and mentor Home Office Branch Managers; Oversee supervisory programs, procedures, resources, and controls; Monitor supervisory activity, trends, alerts, and risk indicators; Partner with Compliance, Division Supervision, and Division Management; Lead initiatives to strengthen supervisory effectiveness and efficiency; Represent Supervisory Solutions with advisors and leaders
Seniority
Senior Manager, hands-on leadership