Regional Supervision Manager Jobs

Field Supervision Opportunity in Financial Services

Regional Supervision Manager (Home Office Principal – Triad)

Location: ALL Locations/Remote (Open to qualified candidates across U.S.)

Type: Full-time

Summary:

The Regional Supervision Manager is responsible for developing and maintaining relationships with the financial professionals within their regional territory. They will help coordinate efforts between other home office staff members to ensure business is processed in accordance with the firm's policies and procedures to protect the client and the firm.

Responsibilities:

• Work independently to ensure department deadlines are met and service levels are maintained.
• All other duties as assigned
• Educate financial professionals regrading firm policies and procedures
• Ensures proper business and sales practices are followed by the daily review of brokerage and direct held transactions.
• Accept new accounts on behalf of the firm
• Provide extraordinary customer service to Triad financial professionals, handle incoming calls and respond to questions.

Education Requirements:

• Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Basic Requirements:

• Excellent analytical and problem-solving skills.
• Excellent written and oral communication skills, including the ability to diplomatically find solutions to assist financial professionals and internal business partners.
• Understanding of relevant FINRA and SEC rules and regulations concerning transaction suitability.
• FINRA Series 66 (or 63 / 65) is required. (Must obtain within 90 days of hire)
• FINRA Series 53 preferred. (May obtain within 12 months of hire)
• Ability to work in a time-sensitive environment.
• FINRA Series 7, Series 24 are required.
• Minimum 3 years of Supervision or Compliance experience
• Ability to effectively handle and prioritize multiple tasks in a fast-paced team environment to meet defined deadlines.

At Advisor Group, we support financial professionals across the nation, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.