Job DescriptionOur team has a number of key responsibilities to support our advisors service model and growth through marketing and communications in a fun and flexible environment. The role of the Sales Supervision Manager - Advisor Created Material Review (ACMR) will be focused on reviewing advisor created marketing materials (print ads, videos, seminar & event related materials, websites, social media) and other types of advisor-generated retail communications.
Success in this role includes providing advisors with feedback, coaching and collaboration on creating compliant marketing materials. In addition, the Sales Supervision Manager - ACMR will be aware of trends in the industry and educate advisors, leaders and business partners as needed.
Key Responsibilities- 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.
- Collaborate with peers to share best practices and incorporate efficiencies developed in other areas.
Required Qualifications- Bachelors degree or equivalent.
- 5 - 7 years relevant experience required.
- 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 SIE (Securities Industry Essentials)
- Ability to obtain Series 7 within 120 days and Series 24 within 90 additional days required; Series 63 or 66 or the ability to obtain is also required.
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 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
