Senior Manager, Supervisory Solutions

This is a fully remote position, open to applicants in Colorado.

📋 Description

• Guide, mentor, and develop a team of Home Office Branch Managers.

• Supervise programs, procedures, resources, and controls.

• Track supervisory activities, trends, alerts, and risk indicators.

• Collaborate with Compliance, Division Supervision, Division Management, and other stakeholders.

• Spearhead initiatives that enhance supervisory effectiveness and efficiency within the Supervisory Solutions program.

• Act as a representative for Supervisory Solutions to advisors and leaders.

• Offer supervisory oversight and support to branches involved in the Supervisory Solutions program.

• Ensure that advisors are provided with suitable guidance and supervision.

• Recognize and mitigate supervisory risks proactively.

• Ensure all regulatory requirements are consistently and professionally fulfilled.

⛳️ Requirements

• Bachelor’s degree (B.A.) from a four-year college or university, along with a minimum of eight (8) years of experience in a financial services firm or supervision.

• An equivalent combination of experience, education, and/or training as approved by Human Resources.

• Series 7 license is mandatory.

• Series 9/10 or 24 license is required.

• Series 66 or 63/65 license is necessary.

• Robust understanding of securities industry rules, regulations, and supervisory practices.

• Proficient knowledge of investment products, financial markets, and advisory activities.

• Exceptional analytical, critical thinking, and problem-solving skills.

• Strong written and verbal communication skills.

• Ability to manage multiple priorities in a dynamic environment.

• Proven capacity to influence and establish credibility among a diverse range of stakeholders.

• Excellent organizational skills and meticulous attention to detail.

• Capability to coach, mentor, and lead others.

• Preferred managerial experience of 3 to 6 years, including supervising direct reports or cross-functional reporting resources.

• Series 53, Life, Health, and Variable Annuity Insurance Licenses are preferred.

🏝️ Benefits

• Medical, dental, and vision benefits.

• Life insurance.

• Critical illness insurance.

• Accident insurance.

• Disability benefits.

• Retirement savings.

• Paid time off, including vacation, holidays, and sick leave.

• Parental leave.

• Additional compensation options, including cash or equity, discretionary bonuses, or commissions may be included.

• Remote workstyle.

• Travel requirement of less than 25%.