Manager, Registered Sales Associates
Core
Supervises front office client-facing activities of registered representatives in retail brokerage and manages support partners within an assigned region.
Role type
First-line Sales Supervision Manager
Builds
Retail brokerage operations and client service delivery
Domain
Financial Services / Wealth Management / Retail Brokerage
Required skills
Regulatory compliance (FINRA/SEC), performance management, trade activity review, risk mitigation, client complaint resolution, team development, project management
Preferred skills
None stated
Technologies
None stated
Responsibilities
Monitor and review partner procedures for regulatory compliance; Review trade activity, correspondence, and exception reports; Conduct performance management and career development; Coordinate partner onboarding and training; Identify and resolve client complaints and audit issues; Collaborate with operations, compliance, and trading groups
Seniority
Manager, first-line supervision