Sales Supervision Manager

Our team has key responsibilities to support our advisor service model and growth in a fun and flexible environment. The role of Sales Supervision Manager – Trade and New Accounts conducts risk-based supervision involving a variety of products and investment strategies. New account supervision is also conducted on Brokerage and non-discretionary Managed Accounts. Products include equities, exchange traded products, fixed income, mutual funds, unit investment trusts, 529s, and options at both the trade and account level.

Success in this role includes an understanding of these products and how they operate in the financial markets. You will escal​ate issues requiring further research or action and work with business partners and field leaders to resolve identified issues. You will also provide coaching and training to advisors on trading and investment strategy policies.

• 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. 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‑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.

• 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) and 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, each.

• 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.

We’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of 2024. With our team of more than 20,000 people in 20 countries, we advise, manage and protect assets and income of more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer.

Our unwavering focus on our clients and strong financial foundation…