Job DescriptionOur team has key responsibilities to support our advisor service model and growth in a fun and flexible environment. The role of Sales Supervision Manager - Complex Products and IRA Rollover may be responsible for performing sales supervision of Structured Product transactions, non-traded Alternative Investments, including but not limited to non-traded Real Estate Investment Trusts, Business Development Companies, Hedge Funds, Private Equity, Real Estate Private Placements, Managed Futures, non-traded Closed-End- Funds, Exchange Funds, 1031 Exchanges and IRA Rollovers from employer sponsored retirement plans.
Success in this role will include analyzing complex data, making sound decisions, and working effectively with advisors, field leaders, and various business partners to mitigate risk. You are expected to remain supportive and flexible in a dynamic environment, while staying informed of emerging trends among advisors and across the industry.
Key Responsibilities- Conduct registered principal supervision of structured product transactions, alternative investments, and IRA rollovers to ensure compliance with firm policies and regulatory requirements.
- Communicate outcomes of supervisory reviews to advisors, field registered principals (RPs), and field leaders, including delivering sensitive messages and providing constructive, one-on-one coaching.
- Provide targeted training and education to advisors to strengthen supervisory practices and mitigate risk.
- Conduct direct client outreach to support and facilitate supervisory reviews and resolve inquiries.
- Serve as a subject matter expert for advisors, field leadership, and Central Supervision Unit (CSU) Sales Supervision Managers across a range of supervisory topics.
- Proactively manage escalated, complex, and time-sensitive issues, ensuring timely resolution and appropriate risk mitigation.
- Partner with Compliance, Legal, and other business units to address advisor activity, emerging trends, and supervisory concerns.
In addition: - Complete supervisory analysis using risk-based judgement, procedures, and job aids. This usually results in approval or rejection of new applications or determination of appropriateness of transactions or other business including communications with the public.
- Communicate with advisors, field registered principals and field leaders regarding results of supervisory activity. Involves working closely with advisors to develop an understanding of recommendations made to clients and to reasonably validate fiduciary and best interest standards are met.
- Support the team's efforts to innovate and improve the effectiveness and efficiency of processes. Evolve day-to-day processes to streamline work and focus on issues that matter most.
- Keep updated on changes in the regulatory environment and competitive landscape including new regulations and product offerings.
- Represent the firm and functional processes in response to examinations, investigations, and other regulatory matters, which may include on-the-record engagements with regulators or providing testimony in arbitration matters.
- Participate in maintaining the overall health of the team, including establishing individual development goals and engagement in team activities.
Required Qualifications:- A bachelor's degree (in any field) and 2 years relevant work experience or 3 years relevant work experience. Relevant experience includes financial services, customer service, communications, education or other where you have built the skills needed to be successful in this role.
- Active Series 7 required
- Additional active licenses or the ability to obtain the following: Series 24, 63/65 or 66, and 9/10 or 4/53 - or the ability to obtain within 120 days of start date. If multiple exams are required, they can be done consecutively, and an additional 90-day window will be added after successfully passing each exam.
Preferred Qualifications:- Problem solving and analytical skills; ability to effectively analyze complex issues.
- Ability to consistently exercise good judgment when making decisions on complex matters that don't have clear answers.
- Strong written and verbal communication skills including the ability to deliver unfavorable messages.
- Ability to consistently influence positive behavior through coaching and education.
- Ability to document activity in a fact-based and comprehensive manner.
- Ability to work effectively and efficiently both individually and in a team environment.
- Ability to manage workload, across multiple tools and processes, including prioritization and monitoring of pending cases.
Visa SponsorshipApplicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).
In-Office CollaborationWe are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders - clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.
Base Pay SalaryThe estimated base salary for this role is $87,400- $120,200 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.
Full-Time/Part-TimeFull time
Exempt/Non-ExemptExempt
Job Family GroupLegal Affairs
Line of Business AWMBD Advice and Wealth Mgmt and Business Development
