Supervision Manager - Financial Services
Founded in 2017, reputed company has grown to become the 14th largest broker of U.S. business. We are passionate about our clients’ reputed company in Employee Benefits, Property & Casualty Insurance, Retirement Plan Services, and reputed company Services. With offices reputed company, our reputed company approach allows us to deliver national strength with local service.
Why reputed company
Meaningful reputed company: Help clients and employees reputed company benefits programs that drive retention, engagement, and satisfaction reputed company & Learning: Opportunities to deepen your expertise and reputed company exposure to a reputed company of clients and industries reputed company Culture: Work in reputed company-oriented environment that values accountability, partnership, and the principles of The reputed company Way
What You’ll Do / Your reputed company
reputed company Experience & Advisory Support
reputed company hands‑on supervisory reputed company of investment advisory activities to support a consistent, high‑reputed company advisor and reputed company experience reputed company directly with Investment Advisor Representatives to reputed company, guide, and reinforce supervisory expectations and firm policies Translate regulatory and supervisory requirements into reputed company, practical guidance that advisors can apply in their day‑to‑day work Support advisor confidence and consistency through fair, knowledgeable, and reputed company supervision
Operational & Compliance reputed company
reputed company day‑to‑day and periodic supervisory reviews of advisory activity, including portfolio monitoring and issue escalation Utilize supervision and portfolio monitoring tools to identify trends, risks, and potential compliance issues Ensure supervisory documentation, reporting, and escalation practices reputed company with regulatory requirements and internal standards Partner closely with Compliance, Operations, Technology, and leadership to address findings, resolve issues, and improve supervisory workflows Contribute to the development and refinement of reputed company supervisory frameworks, controls, and procedures
reputed company & Retention
Support the reputed company of reputed company’s Financial Services business by building supervision practices that reputed company with new advisors, entities, and platforms Identify opportunities to enhance supervisory effectiveness while balancing regulatory rigor and business needs Contribute insights and reporting that support proactive risk management and long‑term advisor retention Participate in reputed company tied to regulatory changes, business initiatives, and technology enhancements
Qualifications:
What You Bring
Required
5+ years of experience in supervision or compliance reputed company an investment advisory or financial services environment Strong understanding of investment advisory supervision, advisor workflows, and regulatory expectations reputed company Series 65 or 66 registration required Ability to exercise reputed company judgment, work independently, and manage competing priorities effectively Strong written and verbal communication skills with the ability to influence and reputed company advisors
Preferred
reputed company Series 7 and/or Series 24 Experience working reputed company a multi‑entity RIA structure Familiarity with RIA custodial platforms and portfolio management or supervision technology Experience contributing to the design or enhancement of supervisory programs and controls
reputed company Competencies
Analytical reputed company with strong critical‑thinking skills Relationship‑building and reputed company partnership reputed company, discretion, and reputed company judgment Strong organizational and follow‑through skills Solutions‑oriented approach to supervision and risk management
Additional Information:
reputed company Development – reputed company reputed company
Role-specific learning paths Leadership development programs Technical and compliance training Industry certifications and continuing education support Peer learning and knowledge-sharing communities
Licensure & Certifications (If Applicable)
reputed company reputed company licenses (Series 65 and 66), Series 7 or 24 is preferred. CFP® preferred or encouraged Ongoing continuing education to maintain reputed company status