Sales Supervision Manager responsible for analyzing business trends and supervising activities in a flexible environment. Collaborating with advisors and field leaders to mitigate risk while ensuring compliance, in a diversified financial services company.
Responsibilities
Conduct sales practice reviews surrounding products such as general securities, options, annuities, insurance, and managed accounts.
Supervise specialized reports and referrals designed to identify potential policy violations and unique trading patterns.
Communicate with advisors and field leaders regarding results of supervisory activity.
Deliver one-on-one training and education to advisors.
Build relationships with business partners to coordinate supervision of new or one-off supervision requests.
Support the team’s efforts to innovate and improve the effectiveness and efficiency of processes.
Requirements
Bachelor's degree or equivalent
5 years minimum relevant work experience
Demonstrated problem solving and analytical skills
Ability to effectively analyze complex issues
Strong written and verbal communication skills
Active Series 7 required
Additional active licenses or ability to obtain Series 24 and 63/65 or 66
Benefits
vacation time
sick time
401(k)
health, dental and life insurances
Job title
Sales Supervision Manager – Specialized Trends and Reports
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