Supervision Manager

The Role

As the Supervision Manager, you’ll be responsible for overseeing the supervisory framework of the Registered Investment Advisor (RIA) business and Fixed Insurance Business (FIB). This role will ensure adherence with SEC and state regulations while supporting advisors and brokers in delivering high‑quality client service. This role leads supervision processes, monitors advisor and broker activity, and partners with Compliance and Operations to mitigate risk and strengthen supervisory practices.

• Oversee day‑to‑day supervisory activities for RIA advisors and licensed brokers
• Review and approve client accounts, investment recommendations, and advisory activities in accordance with firm policies and regulatory requirements
• Escalate and resolve supervisory issues, exceptions, and potential compliance risks in a timely manner
• Conduct advisor and broker oversight meetings to evaluate adherence to firm standards

• Ensure adherence to SEC regulations (e.g., Investment Advisers Act of 1940), state requirements, and internal policies
• Partner with Compliance to implement regulatory changes and maintain supervisory procedures
• Support internal and external audits and regulatory exams
• Maintain accurate records of supervisory reviews and approvals

• Serve as a primary point of contact for advisors and brokers regarding supervisory guidance and policy interpretation
• Provide coaching to advisors and brokers on risk management, client suitability, and best practices
• Assist with onboarding and ongoing training of advisors and brokers on supervision and compliance requirements

• Identify trends, emerging risks, and supervisory gaps; recommend process improvements
• Analyze account activities and client interactions for suitability and fiduciary alignment
• Collaborate with Compliance and Legal to handle escalations, complaints, and investigations

• Develop and enhance supervisory procedures, controls, and documentation
• Participate in technology enhancements to improve efficiency and oversight
• Create reporting dashboards and metrics for leadership on supervision effectiveness

• 5 – 10+ years of experience in wealth management, RIA supervision, compliance, or broker‑dealer supervision
• Deep knowledge of SEC regulations, fiduciary standards, and RIA compliance frameworks
• Strong grasp of RIA and Insurance products

• Exceptional organizational skills with keen attention to detail and accuracy
• Strong analytical and risk assessment skills
• Excellent judgment and decision‑making abilities under regulatory and reputational pressure
• Effective communication and interpersonal skills with the ability to influence and coach

• Bachelor's degree in Business, Finance, or related field
• Series 65 or 66
• Series 7 and/or 24 a plus
• Active state insurance licensing

The base salary compensation range being offered for this role is $135,000–$185,000 USD per year. This role is also eligible for an annual short‑term incentive bonus.

• Health and Welfare Benefits:
  Medical (including prescription coverage), Dental, Vision, Health Savings Account, Commuter Account, Health Care and Dependent Care Flexible Spending Accounts, Group Accident, Group Critical Illness, Life Insurance, AD&D, Group Legal, Identity Theft Protection, Wellbeing Program and Work/Life Resources (including Employee Assistance Program)
• Leave Benefits:
  Paid Holidays, Annual Paid Time Off (includes paid state/local paid leave where required), Short-Term Disability, Long-Term Disability, Other Leaves (e.g., Bereavement, FMLA, ADA, Jury Duty, Military Leave, and Parental and Adoption Leave), Paid Time Off
• Retirement Benefits:
  Contributory Pension Plan and Savings Plan (401(k)). All Level 38 and more senior roles may also be eligible for non‑qualified Deferred Compensation and Deferred Savings Plans.

Pursuant to the San Francisco Fair Chance Ordinance and Los Angeles County Fair Chance Ordinance for Employers, we will consider for employment qualified applicants with arrest and conviction records.

EOE, including disability/vets