CVP, Zone Agency Standards

Location Designation:
Hybrid - 3 days per week

The Corporate Vice President, Agency Field Operations & Supervision (ZASO CVP) is responsible for executing Agency Standards, field supervision, and risk-based oversight across the Zone. This role partners closely with the Zone SVP, Lead ZASO, Team Leads, and Home Office partners to ensure timely inspections, effective investigations, sound disciplinary action management, and the development of field leadership. This position serves as a senior advisor and subject matter expert, supporting consistent supervisory outcomes and helping field management understand the intent, expectations, and rationale behind Company standards and policies.

• Complete and close ASR and OSJ inspections in a timely, accurate, and well-documented manner.
• Conduct Agency Standards wrap-up presentations for General Office management following field reviews.
• Assist with CCD Reviews and other Zone-level supervisory reviews, as assigned.
• In coordination with the Lead ZASO, Team Leads, and Home Office Investigations/DA teams, assist in managing the disciplinary action process for the Zone, ensuring accurate, timely responses and closure.
• Manage enhanced supervision (ES) programs including email and social reviews using Global Relay as outlined in the ES plan.
• Coach and mentor Team Leads and ASMs on investigative practices, supervision expectations, and performance improvement.
• Serve as a trusted resource for field leadership on Agency Standards, supervision, and compliance matters.
• Coordinate with Team Leads to assist in resolving General Office management or agent conflict cases.
• Manage financial review process (BLG) across the Zone.
• Review and approve shared office space and multiple branch office locations within the Zone.
• Participate in Zone staff meetings and planning meetings, contributing insight and operational support.
• Clearly communicate the rationale behind Company policy and supervisory decisions to field leadership.
• Support the Lead ZASO in budget and travel planning; personally book travel and submit timely expense reports.

• Bachelor’s degree required; advanced degree or professional designation (CLU, ChFC, CFP, CAMS, or similar) preferred.
• Comprehensive knowledge of registered and non-registered products.
• Required licenses:
  Series 7, 24, and 65 or 66;
  Series 51 or 53 required within 90 days.
• Strong written and verbal communication skills, with executive-level presence.
• Demonstrated ability to exercise sound judgment, influence outcomes, and partner effectively with senior leaders.
• Willingness to travel as needed.

• Demonstrates a growth mindset, commitment to continuous learning, and process improvement.
• Models effective leadership, mentorship, and inclusive practices.
• Upholds high standards of professionalism, integrity, and accountability in supervisory and investigative matters.
• Partnering with Agency Diversity, Equity & Inclusion to actively champion inclusivity and uphold Company values with the Cultural Ambassador.

Salary Range: $107,000-$153,000

Overtime eligible:
Exempt

Discretionary bonus eligible:
Yes

Sales bonus eligible:
No

Please note:

This role requires FINRA licensed and/or FINRA Associated Person pre‑hire fingerprinting.