Mgr, Supervision
Core
Leads and develops a team of Supervisory Principals to oversee HOS advisors and centralized product reviews, while coordinating regional supervision oversight functions.
Role type
Senior management supervisor (financial services)
Builds
Supervision of financial advisors and product review processes
Domain
Wealth management / Financial services
Deliverable
client delivery
Required skills
Talent management, service management, production management, risk management, regulatory interpretation, policy development, project management, stakeholder engagement
Preferred skills
Leadership experience, business/finance/accounting background
Technologies
Risk-based reporting tools, compliance management systems
Responsibilities
Hire, train, and coach staff; handle escalations and maintain advisor relationships; ensure adherence to service level agreements; analyze and mitigate regulatory risks; interpret federal/state regulations and develop internal policies; identify policy gaps and recommend corrective actions.
Seniority
Manager, hands-on leadership
