About the role

  • 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

Job type

Experience level

Mid levelSenior

Salary

$87,400 - $110,000 per year

Degree requirement

Bachelor's Degree

Location requirements

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