Senior Supervision Manager

• oversees the development and maintenance of workflows, including mandated supervisory reviews and enterprise alerts
• monitors call center activities or financial center's ability to handle and resolve complaints
• coordinates control and audit remediation, mock audits of books and records, onboarding of registered associates, and communication and tracking of key performance objectives
• identifies risk, drives operational excellence, and develops front-line unit proficiency through supplemental training, active coaching & remediation of policy and procedure violations

• Bachelor’s Degree or equivalent work experience
• Must have FINRA Series 7, 8 or 9/10, 63/65 or 66 to be considered for the role (in lieu of the 8 or 9/10 we could consider candidates holding all of the following licenses: 4, 24, and 53)
• Familiarity with compliance and regulatory issues
• Strong auditing background with willingness to travel
• Familiarity with Microsoft Word, Excel and Power Point

Demonstrates expertise in overseeing workflows, compliance, and auditing processes while driving operational excellence and risk management. Proficient in training and coaching front-line units to enhance performance and adherence to policies.

• FINRA Series 7
• FINRA Series 63
• Auditing Experience
• Compliance Familiarity
• Microsoft Excel

• Workflow Development
• Operational Excellence
• Risk Identification
• Policy Remediation
• Training and Coaching

• Communication
• Problem-Solving

• FINRA Series 8
• FINRA Series 9/10
• FINRA Series 4
• FINRA Series 24
• FINRA Series 53

• Regulatory Issues
• Call Center Monitoring
• Audit Remediation
• Key Performance Objectives
• Onboarding

• Microsoft Word
• Microsoft Power Point