10 часов назад
Sales Supervision Manager (Financial Services)
87 400 - 120 200$
Мэтч & Сопровод
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Описание вакансии
Текст:
TL;DR
Sales Supervision Manager (Financial Services): Reviewing advisor practices, managed accounts, and financial planning recommendations to assess suitability, fee appropriateness, and fiduciary standards with an accent on risk-based analysis and regulatory compliance. Focus on analyzing complex cases, communicating supervisory findings, improving review processes, and responding to examinations, investigations, and arbitration matters.
Location: Minneapolis, Minnesota, United States; employees must work in the office at least four days per week and may work from home one day per week.
Base salary: $87,400–$120,200 per year, plus potential variable compensation such as bonuses, commissions, and long-term incentives.
Company
is a diversified financial services organization providing financial planning and advice, asset management, and insurance solutions to individual, small business, and institutional clients.
What you will do
- Supervise investment advisory services, including financial planning and managed account programs, to assess suitability and recommendation quality.
- Conduct risk-based supervisory analyses using established procedures and job aids.
- Work with advisors, registered principals, field leaders, and business partners to validate fiduciary and best-interest standards.
- Improve review processes and workflows to increase efficiency and focus on material risks.
- Monitor regulatory and competitive developments, including new regulations and product offerings.
- Represent the firm during examinations, investigations, regulatory matters, and arbitration proceedings.
Requirements
- Bachelor’s degree plus two years of relevant experience, or three years of relevant experience in financial services, customer service, communications, education, or a related area.
- Active Series 7 registration, or the ability to obtain it within 120 days of starting.
- Active Series 24 and Series 63/65 or 66 registrations, or the ability to obtain them within 120 days of starting.
- Strong problem-solving, analytical, judgment, written communication, and verbal communication skills.
- Ability to coach others, document supervisory activity comprehensively, manage multiple workflows, and work independently and collaboratively.
- Technical product knowledge of managed accounts and/or financial planning.
Culture & Benefits
- Face-to-face collaboration is a core part of the working model.
- Benefits include vacation time, sick time, 401(k), and health, dental, and life insurance.
- Opportunities include individual development goals, team activities, and process innovation.
- Applicants must already have United States work authorization and must not require visa sponsorship now or in the future.
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