Wealth Management - Vice President Supervisory Team Manager - Tempe, AZ/Plano, TX
Listed on 2026-02-24
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Management
Risk Manager/Analyst, Financial Manager
Are you ready to make an impact in the world of brokerage supervision? Join us as a Supervisory Team Manager and help drive operational excellence, risk management, and process improvement. You’ll lead a talented team, resolve high-risk escalations, and collaborate with field and executive stakeholders. This is your opportunity to shape supervisory practices, develop employees, and influence business outcomes. Be part of a team where your leadership and expertise are valued.
As a Brokerage Supervisory Team Manager in Central Supervision, you will manage a team of Registered Principals responsible for reviewing and determining suitability for a variety of brokerage and managed account transactions. You will lead us in handling complex escalations, partnering with field personnel, and driving process improvements. Together, we will foster a collaborative, high-performing team environment and deliver exceptional supervisory oversight.
Job Responsibilities:- Manage a team of Registered Principals reviewing suitability for brokerage and managed account transactions
- Lead workflow and volumes with urgency and efficiency
- Escalate supervisory issues and provide actionable recommendations
- Strategically partner with field Supervisory Managers to resolve exceptions
- Execute project work and additional tasks as assigned
- Conduct training for newly hired team members
- Identify and drive process improvements
- Influence and align stakeholders to final resolutions
- Recruit, hire, develop, and coach employees
- Articulate supervisory findings and align stakeholders
- Manage complex, high-risk escalations from end-to-end
Skills:
- Minimum 7 years of experience in the securities and investment industry
- Ability to work independently and make sound, risk-based decisions
- Strong research, analytical, and problem-solving skills
- Ability to analyze trends and implement improvements
- Effective collaboration across multiple levels of supervision
- Excellent interpersonal, verbal, and written communication skills
- Strong organizational skills and attention to detail
- Proficiency in Microsoft Office and strong computer skills
- Proven ability to thrive in a dynamic, evolving team environment
- Strong time management and ability to meet deadlines
- Active and valid FINRA Series 7 and one or more of the following:
Series 66 (63,65), 9/10 (4,24,53), State Life & Health Insurance license (must obtain within 120 days if not already held)
Skills:
- Management experience
- Advanced knowledge of securities industry rules, regulations, and guidelines
- Significant and equivalent experience in a directly related securities industry position (may substitute for bachelor’s degree)
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