Compliance Manager, Sales Supervision

Be a part of the team behind our success!  At Advisor Group, we support more than 5,000 financial advisors, 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.

Sales Supervision Manager Opportunity in Financial Services

Compliance Manager


Location:               20 E. Thomas Rd, Suite 2000, Phoenix, AZ  85012

Summary:

Imagine the excitement of working for a billion-dollar startup company with a strong revenue flow and a client base that goes back 60+ years.  Our employees are the “how” and the “why” of Advisor Group’s success.  This position handles all aspects of administration and management of assigned Sales Supervision employees to ensure compliance with regulatory requirements and firm policies as well as quality and timeliness in service delivery. 

Keys:      pre-approval, Compliance Supervision, Suitability, FINRA    

Responsibilities:

Responsible for daily oversight of assigned Analysts who conduct suitability review of complex transactions and escalated issues for all business requiring firm pre-approval, to include but not limited to, Variable Annuities and Non-Traded Alternative Investments, to include non-traded REITs, managed futures, 1031 TICs and other non-traded, illiquid alternative investments that may be added to the platform

  • This role requires someone who is self-motivated and who can motivate others. This position also requires flexibility, the ability to adapt in a changing environment and re-prioritize appropriately.
  • Manage cross-organizational projects and demonstrate negotiating skills. Must be able to build effective business relationships with internal departments, financial advisors and external service providers.
  • Responsible for the daily oversight of department personnel, workflows, processing procedures and problem resolution.
  • Review and analyze productivity, service levels and processing procedures to ensure company goals and service standards are met. 
  • Continually seek out and implement efficiencies and service/process improvements. Actively analyze problems, determine causal factors and implement corrective actions. Exercise strong problem solving and decision-making skills.
  • Determine and manage staffing levels for the department; select candidates for open positions, conduct interviews and extend employment offers to highly qualified individuals.
  • Accountable for team and staff development by providing the tools and training needed to achieve success. Provide career planning, goal setting and coaching support to team members.
  • Manage the Performance Management Process for team
  • Monitors, reports, and enforces internal controls to ensure compliance with industry standards, regulatory requirements, and the firm’s policies and procedures.
  • Enforce department budget
  • All other duties as assigned

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:

  • At least three years of related experience within the brokerage industry;
  • FINRA Series 7, 24 (or 9 and 10), 63 (or 66) required;
  • Understanding of AS400, V2020, and Pershing System;
  • Proficient with Windows and MS applications such as Word, Excel, PowerPoint and Outlook
  • Demonstrated outstanding interpersonal skills;
  • Demonstrated behaviors including a high level of motivation, flexibility, and sense of urgency is imperative.

Preferred Requirements:

  • Resident state Life and Variable insurance licenses preferred;
  • Previous staff management is preferred.