Regional Supervision Manager

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.

Field Supervision Opportunity in Financial Services

Regional Supervision Manager


Location:         

20 E Thomas Rd Suite 2000  Phoenix, AZ  85012

Summary:

Our Regional Supervision Manager conducts suitability review and oversight of customer transactions, new accounts and account changes. Assists in coordinating efforts between the Supervision Regional Vice President (SRVP) or the Regional Supervision Director (RSD) to ensure business is processed in accordance with the firm’s policies and procedures to protect the client, the FLS, and the firm.

Keys:    brokerage operations, compliance, broker dealer     

Responsibilities:

  • Provides support to the regional supervision team by assuming delegated first line supervisor responsibilities and providing other supervisory assistance as required.
  • Conducts transaction and account suitability review for all transactions for direct reports.
  • Ensures proper business and sales practices are followed by the daily review of queue management reports.
  • Monitors reports and enforces internal controls to ensure compliance with industry standards and the firm’s policies and procedures.
  • Collaborates with Regional Supervision Team.
  • Maintains ongoing positive relationship, acting as a guide and resource to all ME/MFA/MBO/OSJ Managers and support staff in collaboration with the SRVP, RSD, Business Development and Compliance while ensuring understanding and compliance with all firm and industry requirements by proactively communicating the firm’s policies and procedures.
  • Supports the development and training of new OSJ Branch Managers, delegates, and staff with regards to broker dealer policies and procedures.
  • Functions as the home office liaison and primary contact for Advisors.
  • Works directly with advisors to address concerns and to educate on firm policy and procedures.
  • Identify and assess risk based on findings deemed to be in violation of the department’s current guidelines and takes appropriate corrective action as needed in collaboration with the SRVP, RSD and Compliance.
  • Works on delegated and collaborative projects with the SRVP, RSD, Customer Service, Legal, Compliance, and upper management to include the tracking of said projects to ensure completeness (i.e. Outside Business Activity Questionnaire, Annual Compliance Meetings, Firm Element Continuing Education, Annual Representative Renewals, etc.).
  • 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 related experience conducting suitability review of transactions.
  • FINRA Series 7 and 24 required
  • Understanding of relevant FINRA and SEC rules and regulations concerning transaction suitability.
  • Ability to effectively handle and prioritize multiple tasks in a fast-paced team environment to meet defined deadlines.
  • Ability to work in a time-sensitive environment.
  • Excellent analytical and problem-solving skills.

Preferred Requirements:

  • FINRA Series 4, 53, 65 or 66 preferred