About The Position
As a Central Supervisory Manager on the Central Supervision team, you ensure the suitability and compliance of annuity and insurance products for clients. You work with colleagues across the organization to resolve supervisory issues and improve processes, help train new team members, and influence positive change. The position supports exceptional client service and long-term client relationships. The role is based in Columbus, Ohio; Tempe, Arizona; San Antonio, Texas; or Plano, Texas. The company offers a competitive total rewards package, with base salary determined by role, experience, skill set, and location. Eligible roles may also receive commission-based pay and/or discretionary incentive compensation. Benefits and programs are based on eligibility, and additional compensation and benefits details are provided during the hiring process.
Requirements
- At least 7 years of experience in the securities and investment industry.
- Deep understanding of advisory services, products, and complex client accounts.
- Working knowledge of U.S. financial regulations, including FINRA rules.
- Ability to make sound, risk-based decisions independently.
- Strong research, analytical, and problem-solving skills.
- Excellent interpersonal, verbal, and written communication skills.
- Ability to collaborate across multiple levels of supervision.
- Active and valid FINRA Series 7 license.
- Active and valid FINRA Series 66 (or Series 63 and 65), Series 9/10 (or Series 4, 24, 53), and State Life & Health Insurance license, or ability to obtain them within 120 days of hire.
- Strong organizational skills and attention to detail.
- Demonstrated ability to work in a dynamic, evolving team environment.
Nice To Haves
- Bachelor’s degree.
- Experience delivering training and mentoring team members.
- Experience driving process improvements and change initiatives.
- Advanced analytical skills for identifying trends and patterns.
- Experience influencing stakeholders and aligning teams to resolutions.
- Strong project management skills.
- Familiarity with digital solutions in wealth management.
Responsibilities
- Conduct suitability reviews for a variety of annuity and insurance products.
- Escalate supervisory issues and recommend appropriate actions.
- Partner strategically with field Supervisory Managers and registered personnel to resolve exceptions.
- Review work items escalated internally by junior team members.
- Deliver training to newly hired team members.
- Identify and drive process improvements.
- Influence stakeholders and align them to final resolutions.
- Complete project work and additional tasks as assigned.
- Clearly communicate findings and recommendations to management.
- Maintain strong organization and attention to detail.
- Meet service-level agreements and project deadlines through effective time management.
Benefits
- Comprehensive health care coverage.
- On-site health and wellness centers.
- Retirement savings plan.
- Backup childcare.
- Tuition reimbursement.
- Mental health support.
- Financial coaching.
- Eligible roles may receive commission-based pay and/or discretionary incentive compensation in the form of cash and/or forfeitable equity.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
No Education Listed
