Description

The Field Operations & Supervisory Manager (FOSM) provides leadership to the Field Operations & Supervisory Associate(s) while also serving as a first-line supervisor for assigned Equity Services, Inc. (ESI) Registered Representatives (RR), Investment Advisor Representatives (IAR), and Non-Registered Fingerprinted (NRF) staff throughout the country.

This position is responsible for maintaining ongoing relationships with assigned personnel to educate, guide, and support their compliance responsibilities. The FOSM will serve as the supervisory point of contact for operational procedures to help ensure compliance with all applicable ESI and industry requirements.

Responsibilities

The FOSM will have primary responsibility for providing day-to-day supervision, including:
• Maintenance of required Field Office of Supervisory Jurisdiction (OSJ) books and records
• Training based on RR business needs and opportunities
• Proactive communication of all applicable ESI and industry requirements
• On-site supervisory office inspections of assigned ESI branch offices/non-branch locations as prescribed, with follow-up and resolution of audit findings
• Regular interaction with RRs to proactively address potential compliance issues and minimize risk
• Investigation of potential compliance or sales practice issues, taking appropriate corrective action as needed in collaboration with Compliance and other internal business units
• Acting as a conduit of information between the Home Office and field members to problem-solve
• Vetting of new recruits, including supervisor review and sign off on related licensing and registration paperwork, and compliance and regulatory reporting requirements such as branch office disclosure, office sharing arrangements, outside business activities, etc.
• Principal review and sign off for all assigned supervisory reviews, such as weekly blotter and correspondence, retail communications, seminars and public speaking events, gifts, incentives, etc.
• Build an effective team, drive team member engagement, and develop talent
• Responsible for staffing, training, employee development, goal setting and total performance management
• Demonstrated ability to empower, influence, and make connections between diverse sets of individuals
• Collaborate with a wide variety of internal and external parties to effectively solve issues
• Establish and maintain strong working relationships with a focus on delivering exceptional customer service
• Develop and maintain productivity and quality metrics; identify and action continuous improvement opportunities
• Ensure that the business area is following established processes; monitor and maintain compliance-based requirements
• Responsible for coordinating the completion of all field exams as required
• Other supervisory responsibilities as assigned

The FOSM will also serve as the first line operational contact for RRs, providing support that may include:
• Business submission requirements and workflow best practices
• Approved Firm technology tools, platforms, and requirements
• Ability to implement and enforce regulatory and supervisory-based decisions
• Proactive collaboration and service-based responses for escalated items

Qualifications
• Bachelor's degree or relevant field experience
• Strong oral and written communication skills to effectively communicate with the field and the home office at all organizational levels
• Passion for coaching and developing a team
• Three years or more of direct broker-dealer supervisory experience, investment advisory, and/or compliance experience a plus.
• Strong presentation skills
• Detail-oriented with demonstrated project management skills
• Ability to work independently, manage multiple priorities, and meet deadlines in a fast-paced environment
• Knowledge of insurance and annuities, mutual funds, general securities, and other investment products, markets, and distribution; previous experience with insurance-affiliated entities a plus
• FIRNA Series 7 24 required, Series 53 desirable
• Experience with all Microsoft applications, particularly Word, Outlook, Excel, and PowerPoint; knowledge of social media platforms is a plus
• Ability to travel 20-30% of the time