Regional Supervision Manager, FSC Securities

Field Supervision Opportunity in Financial Services

Regional Supervision Manager – FSC Securities

Preferred Locations:          20 E. Thomas Road. Phoenix, AZ 85012

2300 Windy Ridge Parkway, Atlanta, GA  30339

Qualified candidates in all locations and remote encouraged to apply.

Summary:

The Regional Supervision Manager (RSM) is responsible for the review of brokerage and directly-held transactions as pre-review or within the back-office systems; ensuring those transactions are suitable, based on stated firm policies and procedures.  The Regional Supervision Manager will also assist in the review of registered representatives' requests for approval of Outside Business Activities and completion of annual firm requirements such as the Annual Compliance Meeting, Annual Compliance Questionnaire and Firm Element requirements.

The Regional Supervision Manager will have a specific regional territory responsible for developing and maintaining relationships with the financial advisors within the region.  The RSM will help coordinate efforts between other home office staff members to ensure business is processed in accordance with the firm's policies and procedures to protect the client, the firm and the Field Supervisor.

Responsibilities:

  • Ensures proper business and sales practices are followed by the daily review of brokerage and directly-held transactions.
  • Suitability Review of Variable Annuities and Alternative Investments
  • Works with financial professionals to address concerns and to educate concerning firm policies and procedures.
  • Works with management and other supervisory/compliance personnel on escalated sales practice issues.
  • Work independently to ensure department deadlines are met and service levels are maintained.
  • Provide extraordinary customer service to FSC representatives, handle incoming calls and respond to questions.
  • 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:

  • Minimum 3 years of related experience conducting suitability review of transactions.
  • FINRA Series 7, 24 are required.
  • FINRA Series 4, 53, 66 (or 63 / 65) are required.  (May be obtained within 90 days of hire)
  • 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.
  • Excellent analytical and problem-solving skills.
  • Ability to work in a time-sensitive environment.
  • Excellent written and oral communication skills, including the ability to diplomatically find solutions to assist advisors and internal business partners.
Be A Part Of The Team Behind Our Success!

At Advisor Group, we support financial professionals across the nation, 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.

Equal Opportunity Employer

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Eligibility

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Unqualified Applications

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Recruiting Agencies

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.