4 дня назад
Sales Supervision Manager - Centralized Supervision Unit (Financial Services)
87 400 - 120 200$
Мэтч & Сопровод
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Описание вакансии
Текст:
TL;DR
Sales Supervision Manager - Centralized Supervision Unit (Financial Services): Reviewing advisor-created marketing materials and retail communications for regulatory compliance with an accent on risk-based supervision, fiduciary standards, and advisor coaching. Focus on analyzing complex communications, improving supervisory processes, monitoring regulatory developments, and responding to examinations and investigations.
Location: Minneapolis, Minnesota; employees work in the office at least four days per week, with up to one day per week from home
Base salary: $87,400–$120,200 per year, plus potential variable compensation.
Company
is a diversified financial services company providing financial planning, asset management, insurance, and advice to individual, small business, and institutional clients.
What you will do
- Review advisor-created marketing materials, including print advertisements, videos, seminar and event materials, websites, social media, and other retail communications.
- Conduct risk-based supervisory analyses and approve or reject applications, transactions, and communications with the public.
- Communicate review outcomes to advisors, registered principals, and field leaders while assessing fiduciary and best-interest standards.
- Coach advisors and collaborate on the development of compliant marketing materials.
- Improve supervisory processes, share best practices, and increase operational efficiency.
- Support regulatory examinations, investigations, and arbitration matters, including engagements with regulators and testimony when required.
Requirements
- Bachelor’s degree or equivalent.
- 5–7 years of relevant experience in financial services, customer service, communications, education, or a related field.
- Active SIE license.
- Ability to obtain Series 7 within 120 days and Series 24 within an additional 90 days; other licenses may be required depending on the function.
- Strong analytical, problem-solving, written, and verbal communication skills, including the ability to deliver unfavorable messages.
- Valid U.S. work authorization that does not now or in the future require visa sponsorship is required.
Culture & Benefits
- Client-centric, relationship-based work environment focused on face-to-face collaboration and idea sharing.
- Flexible hybrid arrangement with at least four days per week in the office and one day per week from home.
- Vacation and sick time.
- 401(k), health, dental, and life insurance benefits.
- Potential bonus, commission, and/or long-term incentive compensation depending on the role.
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