Supervisory Control Manager

• Oversee the day-to-day administrative functioning of branch offices within the Market
• Provide supervisory oversight of Registered and Unregistered Associates assigned to the Market
• Partner with Market Leadership Management, Operations, Risk, Compliance, and Sales Teams to meet firm and regulatory requirements
• Recruit, train, and manage assigned direct-report personnel
• Ensure completion of daily, weekly, monthly, and quarterly supervisory reviews and tasks across one or more Markets
• Report findings for review, escalation, and final resolution
• Act as a liaison for home-office escalations, inquiries, and initiatives
• Serve as a liaison and escalation point for support areas
• Explain policies and procedures to branch employees and ensure adherence
• Provide proactive monitoring, governance, risk identification, escalation, and sound risk decisions within applicable risk and compliance programs

• 5+ years of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through work experience, training, military experience, or education
• 2+ years of leadership experience
• Successfully completed FINRA Series 7, 9/10, and 63, or FINRA-recognized equivalents, sufficient for immediate FINRA registration
• Series 9/10 are the only principal licenses required;
  Series 24 is not required
• Strong client service skills
• Strong attention to detail and accuracy skills
• Effective organizational, multitasking, and prioritizing skills
• Strong verbal, written, and interpersonal communication skills
• Ability to provide leadership to a financial services team
• Ability to process complex transactions and perform extensive research to resolve complex customer issues
• Ability to travel up to 25% of the time
• Must obtain and/or maintain appropriate FINRA licenses for ongoing employment
• Must comply with state law registration and licensing requirements
• Must meet enhanced financial fitness and criminal background standards
• Must successfully complete and pass a background check prior to hire
• Must meet ongoing regulatory obligations, including periodic screening and mandatory reporting
• Must be eligible to work in the United States; this position is not eligible for visa sponsorship

Demonstrates strong leadership and supervisory skills in financial services, with a focus on risk management, compliance, and client service. Proficient in overseeing branch operations and ensuring adherence to regulatory requirements while managing personnel effectively.

• Supervisory Control
• Risk Management Consulting
• FINRA Series 7, 9/10, and 63
• Client Service Skills
• Leadership Experience

• Risk Identification
• Regulatory Compliance
• Supervisory Reviews
• Complex Transaction Processing
• Multitasking
• Organizational Skills
• Attention to Detail
• Problem Resolution

• Verbal Communication
• Written Communication
• Interpersonal Skills

• FINRA Series 7
• FINRA Series 9/10
• FINRA Series 63

• Financial Services
• Insurance Brokerage
• Property Insurance
• Casualty Insurance
• Regulatory Obligations