Lead Agency Supervisory Officer

NFP Corp•New York, NY

8d•$144,300 - $230,900

About The Position

Lenox Advisors, a wholly owned subsidiary of NFP, an Aon company, provides wealth management and insurance solutions to high-net-worth individuals and families. The Lead Agency Supervisory Officer reports directly to the General Agent and partners with Compliance, Risk, Legal, and other Home Office departments to provide strategic direction and oversight of the agency’s supervisory framework. The role leads supervisory staff and is accountable for the efficiency of the Agency’s Supervisory Program, including governance, policy administration, regulatory readiness, and enterprise risk coordination. Its focus is primarily on responsibilities beyond individual client-account reviews. The officer oversees supervisory policies, procedures, and controls; reviews significant matters and emerging risks; supports audits, agent monitoring, reporting, onboarding, and office registration; and serves as a senior contact for complex supervisory and compliance issues. The role also leads regulatory change management, training, technology and process initiatives, and represents the supervisory function in enterprise projects and governance forums. The position requires a bachelor’s degree in Business Administration, Finance, or a related field, or equivalent experience; at least 10 years of relevant experience, including at least two years in a supervisory or compliance-focused role; and specified active FINRA licenses. The stated base salary range is $144,300 to $230,900, with possible performance-based incentives. The role may also offer PTO, paid holidays, a 401(k) match, discount programs, and health and wellness initiatives.

Requirements

Bachelor’s degree in Business Administration, Finance, or a related field, or equivalent experience.
At least 10 years’ experience in financial services, insurance, or agency operations.
At least 2 years’ experience in a supervisory or compliance-focused role.
Active FINRA Series 7, Series 24, Series 53 (or equivalent supervisory licenses), and Series 63.
Deep familiarity with state and federal rules regulating insurance and securities activities.
Strategic judgment and ability to translate regulatory requirements into practical governance and controls.
Leadership, mentoring, delegation, and performance-management capabilities.
Strong analytical, problem-solving, and executive communication skills.
Ability to lead cross-functional initiatives and manage competing priorities.
High ethical standards, sound judgment in handling blocking issues, and disciplined follow-through.
Proficiency with business, reporting, supervisory, and compliance technology.

Nice To Haves

FINRA Series 65 or Series 66.

Responsibilities

Implement and maintain the agency’s supervisory framework, policies, procedures, and control environment.
Review significant supervisory matters, exceptions, trends, and emerging risks requiring senior-level judgment or coordination.
Conduct regular branch and agent audits, including reviews of client files, transaction suitability, and sales practices.
Monitor and review agent activities to identify and address potential compliance risks.
Ensure timely and accurate reporting of incidents, blocking issues, and regulatory filings.
Assist with onboarding and supervision of new agents and staff, including accurate licensing and registration.
Collaborate with management on office registration in accordance with state and federal regulations.
Lead, develop, and support supervisory personnel through expectations, mentoring, workload prioritization, and performance accountability.
Serve as the senior point of contact for complex supervisory, compliance, and conduct matters involving blocking issues.
Work with Home Office teams responsible for Compliance, Risk, and Legal issues.
Provide senior management with reporting on supervisory performance, risk themes, resource needs, and remediation progress.
Coordinate regulatory change management, policy implementation, licensing and registration controls, and supervisory readiness.
Sponsor training, communications, and change-management efforts that reinforce supervisory expectations.
Lead initiatives involving supervisory technology, data, recordkeeping, workflow development, process improvement, and risk mitigation.
Represent the supervisory function in enterprise projects and governance forums.