About the role

  • Supervising advisor activity to the intent and spirit of regulations and policies
  • Engage with advisors and field leaders to determine their business need
  • Complete supervisory analysis using risk-based judgement, procedures, and job aids
  • Communicate with advisors, field registered principals and field leaders
  • Support the team’s efforts to innovate and improve the effectiveness and efficiency of processes
  • Keep updated on changes in the regulatory environment and competitive landscape
  • Participate in maintaining the overall health of the team

Requirements

  • A bachelor’s degree (in any field)
  • 2 years relevant work experience or 3 years relevant work experience
  • Active SIE (Securities Industry Essentials)
  • Ability to obtain Series 7 within 120 days
  • Ability to obtain Series 24 within 90 additional days

Benefits

  • vacation time
  • sick time
  • 401(k)
  • health, dental and life insurances

Job title

Sales Manager

Job type

Experience level

JuniorMid level

Salary

$85,700 - $115,700 per year

Degree requirement

Bachelor's Degree

Location requirements

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