Sales Supervisor

Role Overview

• Conduct risk-based supervision involving a variety of products and investment strategies
• Review of supervisory alerts for transactions in equities, exchange traded products, fixed income, mutual funds, unit investment trusts, 529s, and options at both the trade and account level
• Supervision of new accounts and strategy changes in Brokerage and non-discretionary Managed Accounts
• Complete supervisory analysis using risk-based judgement, procedures, and job aids
• Communicate with advisors, field registered principals and field leaders regarding results of supervisory activity
• Support the team’s efforts to innovate and improve the effectiveness and efficiency of processes

Requirements

• A Bachelor’s degree (in any field) and 2 years relevant work experience, or no degree with 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 SIE (Securities Industry Essentials)
• Ability to obtain Series 7 within 120 days, Series 24 within 90 additional days, and Series 9/10 or a combination of both Series 4 and 52/53 within 90 additional days.

Benefits

• health, dental and life insurance
• vacation time
• sick time
• 401(k)
• pay-for-performance compensation philosophy
• variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role