Complex Supervisory Manager - Garden City, NY

Janney Montgomery Scott LLC•Garden City, NY

2d•$93,000 - $121,000•Onsite

About The Position

The Complex Supervisory Manager works closely with the Complex Director to ensure that all operational, supervisory, and compliance functions are promptly and accurately performed within the Complex of three branches. This role is responsible for helping maintain a strong culture of compliance, operational integrity, risk awareness, and adherence to firm and regulatory requirements. The Complex Supervisory Manager serves as the primary liaison with the Complex Director as well as home office departments.

Requirements

High School diploma, bachelor’s degree preferred but not required.
Series 7, 63 and 65, or 66 ;9 and 10 would need to be obtained immediately upon hire.
Possess strong communication and active listening skills and excellent client service skills.
Proficiency in Word, Excel, PowerPoint, Outlook, Sales Force, and Thompson One
Able to work effectively in a fast paced, deadline-oriented environment.
Possess high ethical standards.
Proactive and able to work effectively as part of a team.
Possess strong attention to detail and strong problem-solving skills.
Able to think strategically and execute tactically.
Highly adaptable and able to pivot in an ever-changing and evolving environment.
Able to build strong trusted relationships with all employees.

Responsibilities

Oversees branch operational, supervisory and compliance functions in the Complex.
Escalates compliance, operational, and risk-related issues to the appropriate supervisory or Home Office in a timely manner.
Maintains awareness of regulatory updates and assists in implementing new compliance procedures, controls, and firm initiatives within the complex.
Supports completion of annual compliance requirements including attestations, continuing education, branch inspections, and mandatory training.
Partners with Financial Advisors and support staff to promote a strong culture of compliance, operational excellence, and risk awareness.
Assists in monitoring and reviewing exception reports, trade corrections, and operational alerts to identify and mitigate potential risks.
Oversees cashiering, disbursement of checks and securities, processing incoming and outgoing correspondence, account transfers, margin, distribution of wire traffic, home office reports, maintenance of order tickets, client correspondence, and other documents consistent with firm retention requirements.
Coordinates approval processes for New Accounts, ACH, Wire Transfers, Journals, Annuities, Alternative Investments, POAs, brokerage documentation, legal transfers, stock options, and other transactions.
Coordinates Marketing approvals and expenses for events and sponsorships.
Manages all resources required for complex (technology, suppliers, etc.).
Assists in coordination and organization of branch events (including client educational/appreciation events; internal branch/complex celebrations i.e., holiday party).
Helps educate, reaffirm, and communicate firm initiatives including goals, positioning, and messaging to the Complex.
Is able to assist others by acting as a resource in the areas of training, coaching, and mentoring.